1. We hope you will find it useful Best regards,
Dear User,
This presentation has been designed for you by the Hearts and Minds Support Team
It provides a guideline for conducting a Managing Rule Breaking workshop
The presentation has been supplied with speaker notes and has been checked for correctness and relevance
Please note that all the examples have been chosen to support people from all industries
Please, feel free to replace them with your own examples and/or add any slides and exercises you find useful
We hope you will find it useful
Best regards,
The Hearts and Minds Support Team
In order facilitate the workshop, this presentation has been supplied with detailed speaker notes. The notes are divided into two categories:
FACILITATOR NOTES – provide the advice on how to present or conduct specific slide or exercise, as well as general suggestions on conducting the workshop.
THEORY – explains presented issues in more detail.
FACILITATOR NOTES:
The workshop can be run in a single session (6-8 hours).
It can also be done in a series of small workshops (15-60 minutes).
To achieve and sustain the behavioural change, the meetings should be held regularly over a prolonged period of time.
The step-by-step instructions can be found in the centrefold of Managing Rule Breaking brochure (page 8 and 9).
All techniques and exercises have been designed for use by people who work together or follow the same procedures.
Additional materials can be found on the following websites:
Energy Institute:
NOTES:
Before you begin with the workshop it is recommended you familiarise yourself with the content of this presentation.
Check whether there is any material among the optional or back up slides that you want to use.
Consider :
Changing the examples to better represent groups’ work environment.
Adding additional slides.
Please contact us if you have any questions or need help with adjusting your presentation to your specific needs.

2. FACILITATOR NOTES:
The Hearts and Minds safety program was developed by Shell 2002, after years of co-operation with leading universities in Leiden, Manchester and Aberdeen. The program is being successfully applied in companies around the world.
The Hearts and Minds Toolkit assists in creating and maintaining change in the organisational safety culture by involving all staff in managing Health, Safety and Environment.
All the tools can be used in short sessions as well as parts of longer workshops.
In order to make the workshop materials attractive and fun to use, a lot of attention has been given to the design and colours.
The complete Toolkit as well as separate brochures can be ordered via:
The Energy institute:
All the profits are devoted to further development and updating of the tools as well as on HSSE related academic research.

3. Managing Rule Breaking
FACILITATOR NOTES:
Be sure to arrive approximately minutes before the workshop starts to set up the space.
Acquaint yourself with planned emergency drills and the location of emergency exits, bathrooms, light switches and electrical outlets ahead of time. Getting to know the area and setting things up will make you feel more at ease. Directional signs placed on doors and in corridors are also helpful for participants.
Arrange the tables and chairs.
If you will be presenting both small and large group activities, arrange tables and chairs to promote small group activities and enable participants to get up and move around in larger groups.
Whenever possible, arrange chairs in a circle. This will facilitate participation between the attendees and allow everyone to see everyone else's face and name-tag. We all learn from each other, so it is important that all participants can see and hear everything that is going on.
Set up a table near the entrance with a sign-in sheet, name-tags, and pens.
Set up all of the materials you will be using so that they will be easily accessible to you when you need them. Stationary needed:
Name tags
Posters.
Flip charts.
Hexagon Hearts and Minds post-its.
Pens, pencils, markers, tape, scissors.
Notepads.
Beamer /Projector.
Laptop / slides.
Slide printouts for yourself and for participants.

4. FACILITATOR NOTES:
Allow time before the workshop to greet the attendees and introduce yourself. This will help put the participants at ease.
Start with an icebreaker to make the participants feel at ease. You will find the list with possible ice-breakers on the following website:
If the participants do not already know each other, ask them to introduce themselves to the group motivate them to mingle with each other.
Begin the workshop on time.
During the workshop, keep an eye on the behaviour of the participants to determine when they may need a break, a change of pace or more time to explore an idea or activity.
Ask the participants what their expectations from this workshop are. Write the answers down on a flip chart. You can come back and re-examine the flip chart at the end of the workshop.
And most importantly: let your enthusiasm show and HAVE FUN!
USEFUL TIPS:
Expect the unexpected. E.g. if you have planned outside activities, be prepared to do them inside if it rains, or have an alternative prepared.
Respect. Treat everyone with respect. Don't favour and don't pick on participants. Take cultural differences into account.
Questions. Create an open atmosphere from the start. Ask participants to stop you any time they have questions. Answer all questions. You can eliminate many questions by briefly going over your agenda at the beginning of the workshop. Tell them what they can expect of the day.

5. Managing Rule Breaking
WHAT
A simple tool that explains why people break rules
WHY
To help establish a culture of compliance and working safely that will assist in achieving Goal Zero
HOW
By helping to understand why people break rules and how to manage and change this behaviour
I. FACILITATOR NOTES:
Use this slide to explain the Managing Rule Breaking tool.
II. THEORY:
Managing Rule Breaking is one of the Hearts and Minds tools.
It explains the nature of rule-breaking and different strategies to manage it.

6. The Swiss Cheese Model FACILITATOR NOTES:
Explain the Swiss Cheese model to the audience.
You can either use a description provided below or show the animation. The animation can be found on the following websites:
Energy Institute:
II. THEORY:
Organisations develop barriers that protect people/assets from the dangers that can be encountered during work activities. Ideally each barrier should be impenetrable. In reality however, they resemble slices of a Swiss Cheese; they have many holes that constantly move, open and shut. When all holes line up (meaning all the defences fail) an incident occurs.
When people fail to follow a procedure, for whatever reason, an essential control is being removed from the system and the risk of an incident increases dramatically.

7. Why break the rules? I. FACILITATOR NOTES:
This slide refers to section 4.2 (Presentation) of the Step-by-Step module in the Managing Rule Breaking brochure.
There are two ways you can introduce this slide to the audience:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to write down reasons for why people violate.
If the participants feel comfortable about it, encourage them to discuss what happens in their teams.
Ask the groups to share their findings with the rest of the audience.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy etc.
Whole Group (max 10 people)
Ask the audience why people violate.
Write everyone’s suggestions on flip chart.
If the participants feel comfortable about it, discuss what happens in their teams.
OBJECTIVE: To engage the participants in the lively discussion on different reasons for rule breaking.
II. THEORY:
As an essential part of the HSSE MS, procedures form one of the primary controls on safety. This is way, the way people regard them is so important.
Even though in most cases people realise the reason for given procedures (e.g. using the correct PPT), some of them still decide not to adhere to them.
There are many reasons for this non-compliance. Some of them lie within the character of the person breaking the rules, but most on the way rules are written, introduced, communicated or implemented. This topic will be discussed in more detail later.

8. Do not accept violations
Wolves and Sheep
Do not accept violations
34%
Wolves in
Sheep Clothing
22%
Sheep
14%
Sheep in
Wolves’ Clothing
30%
Wolves
Accept Violations
Never
Violate
OPTIONAL
SLIDE
I. FACILITATOR NOTES:
You can use this slide to explain the Wolves and Sheep principle to the audience. However, if you think it will not benefit the group in any way, feel free to skip it.
You can use the description provided below or present the Human Error animation where the subject is explained in more detail.
The animation can to be found on the following websites:
Energy Institute:
II. THEORY:
Studies have shown that the majority of people violate. Who violates and who does not is largely dependent on personal characteristics.
Two dimensions were found:
Sheep: the guardians of high standards. They feel uncomfortable when have to break the rules and follow them because they are there. They will also follow bad or inappropriate ones.
Wolves: opportunistic go-getters. They feel in control and don’t mind cutting corners to get the job done. They make their own decisions as they see fit at the time.
NOTE: Successful organisations need both Sheep and Wolves to operate profitably.

9. Types of Rule Breaking: Errors
Slips
Doing something one did not mean to
“You decide to stop adding sugar to your coffee and then find yourself doing it anyway ”
Lapses
Forget to carry out an action
“You are on your way to work when the thought strikes you: Did I lock the door?”
Mistakes
The chosen plan was wrong
“The doctor makes a wrong diagnosis and as a result prescribes the wrong medicine”
I. FACILITATOR NOTES:
Ask the audience to come up with their own examples of particular errors.
OBJECTIVE: To make people aware that not all rule-breaking is intentional.
II. THEORY
1. Slips
Failures in carrying out the actions by doing something one did not meant to do. Occurring usually during performing a familiar task without much need for conscious attention
e.g. accidentally pressing a wrong switch, slip of the tongue, slip of the pen etc.
2. Lapses
Failures of memory that cause one to forget to carry out an action or forget what one intended to do.
3. Mistakes
In a mistake, the action proceeds as planned but fails to achieve its intended outcome because the plan was wrong. In other words: performing the wrong action while believing it to be right.

10. Types of Rule Breaking: Violations
Unintentional Incorrect/unclear rules or faulty communication and training
“Because they did not know the procedures operators were not using correct PPE”
Situational Impossible to do the job without breaking the rules due to lack of resources
“A technician discovered that the tool they were supposed to use does not fit in the space available. They used a different tool instead”
Optimising
More convenient, profitable, pleasing the boss, fun
Organisational: For the benefit of the organisation/boss “Not to cause any production losses a maintenance worker decides to fix a broken relay without turning off the electricity supply”
Personal: For the benefit of the individual “In order to get home in time a person is driving 70 km/h where the speed limit is 50 km/h”
I. FACILITATOR NOTES:
Ask the audience to come up with their own examples of the above mentioned violations.
You will find examples of different types of violations among the back-up slides.
OBJECTIVE: To make people aware that there can be different reasons for non-compliance. It also encourages the participants to think about the possible ways for recognising them.
II. THEORY
1. Unintentional Violations
Understanding
Difficult language and many cross-references can make the procedures too difficult to understand.
Awareness
If procedures are not accessible, or people are not sufficiently familiar with them, they will act as if the rules or procedures do not exist.
2. Situational Violation
It is impossible to get the work done by strictly following the procedures due to lack of resources.
3. Optimising Violations
There are three sorts of optimising violations: an optimising violation for company benefit, optimising violation for personal benefit, and a reckless violation (look: following slide).
Organisational Optimising Violation
Done for the organisational benefit. Getting the job done faster, cheaper, pleasing the boss etc.
Personal Optimising Violation
Done to reach a personal goal. Getting the job done more conveniently, getting off work earlier.

11. Types of Rule Breaking: Special Violations
Reckless Optimising Violation A rule was violated without thinking or caring about the consequences
“Drunk Driving”
Routine Any violation that has become the normal way of doing things
“Crossing the street on the red light whenever there are no cars”
Exceptional
Novel, extreme situations for which there is no guidance
“A man dies while trying to save a child”
I. FACILITATOR NOTES:
Ask the audience to come up with their own examples of the above mentioned violations.
NOTE:You will find examples of different types of violations among the back-up slides.
OBJECTIVE: To make people aware that there can be different reasons for non-compliance.
To make the participants think about the possible ways for recognising violations.
II. THEORY
1. Reckless Optimising Violation
Reckless Violation is an extreme form of Personal Optimising Violation. A rule was violated without thinking or caring about the consequences.
2. Routine Violations
Any violation, where rules are broken frequently because they are felt to be irrelevant or because people no longer appreciate the dangers.
The action can either become routine for the group of people (‘everyone does it that way’) or for a specific individual (‘I always do it like that’).
3. Exceptional Violation
Appears in novel and, usually, extreme situations. An example of exceptional violation would be running into a burning house to save a child or jumping from a high bridge into a river to help a drowning man.

12. When a hazard is present Violation + Error = DISASTER
THEORY
It is seldom the case that a single error or violation causes a disaster. Usually, the combination of the two is needed (Violation + Error = Death / Doom / Disaster).
When people fail to follow a procedure, for whatever reason, an essential control is being removed from the system and the risk of an incident increases dramatically (look Swiss Cheese model).
Extreme examples of this equation are:
Three mile Island 1979.
Bhopal methyl isocyanate disaster 1984.
The Challenger and Chernobyl Disasters 1986.
Piper Alpha Oil Platform explosion 1988.

13. Examples
Violation: Someone walks behind a truck without informing the driver
Mistake: Believing it is safe, the driver selects reverse gear
Result: The driver runs the person over
Violation: A driver is not wearing their seatbelt
Error: A driver takes a bend too quickly on a slippery road
Result: The vehicle rolls over
Violation: A driver on the outside lane is speeding
Error: A driver on the inside lane forgets to look in the mirror when switching lanes
Result: Collision
FACILITATOR NOTES:
Instead of simply presenting this slide, you can introduce it to the audience in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants in small groups.
Ask the participants if they any examples of Violation + Error = Disaster from their own experience
Ask the groups to share their ideas with the rest of the audience.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience to come up with their own examples of the just discussed equation.
OBJECTIVE: To make people realise how different factors can interact to cause an accident. It is important to understand that controlling one hazard is usually not enough.

14. “In order to avoid production losses and start work on time, it has become common practice to skip an important but lengthy check”
How Do You Know
FACILITATOR NOTES:
Use this slide to exercise the identification of different sorts of errors and violations.
You can either use the provided example or replace it with your own (recommended).
Encourage the group to discuss an elaborate on their choices.
To facilitate the discussion ask questions like:
Why do you think this is this particular type of violation?
What else could it be?
OBJECTIVE To explain how the chart can be used to classify a particular rule-breaking behaviour.
II. EXAMPLE:
In order to avoid production losses and start work on time, it has become common practice to skip an important but lengthy check.
Was there behaviour below expectations? Yes.
Did the person’s actions deviate from what they intended? No. It was a worker’s intention to skip the check
Did the person made an incorrect decision or was their work plan inadequate? No. Incorrect decision would be if the worker decided to omit the check while believing they were doing the right thing.
Did the person violate because they did not understand or were unaware of the rule? No. The rules were clear and understood
Did the person violating believe the job could not be done if they followed the procedures? No. The job would perhaps take a bit more time but it was definitely possible to perform while adhering to the rules.
Did the person violating think it was better for the company to do it that way? Yes. The workers were violating to avoid production losses.
As it has become a common practice this situation is an example of a Routine Organisational Optimising Violation.

15. Procedures and Practices Questionnaire
Individually:
Complete the Procedures and Practices Questionnaire
In Groups:
Compute the group average for each violation types
If the average is less than a ‘critical score’ discuss that type of rule breaking
If several areas are identified, focus on Exceptional Violations last
If routine violations are identified
What was the original violation type?
FACILITATOR NOTES:
This slide refers to section 4.3 (The Procedures and practices Questionnaire) of the Step-by-Step module in the Managing Rule Breaking brochure.
OBJECTIVE: To explain how to identify different types of violations that may result from incorrect procedures or practices.

16. Discussion Discuss your scores with the group:
Is there a certain type of rule breaking that might be an issue?
Which category is it?
What type of problem does it cause?
Why?
Is there specific rule or procedure causing it?
Do you have any own examples?
What were the specific problems there?
FACILITATOR NOTES:
This slide refers to section 4.4 of the Step-by-Step module in the Managing Rule Breaking brochure.
There are two ways you can introduce this exercise to the group:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to discuss their scores.
Ask the groups to share their conclusions with the rest of the audience.
Write the focus definition on the flip chart using the Problem Definitions (see section 5 in the Managing Rule Breaking Brochure).
Ask the participants to think about the examples from their own experience.
Can they identify any specific rules and procedures?
Write the specific examples on a flip chart.
Whole Group (max 10 people)
Discuss the scores with the whole group.
Ask the participants to think about the examples from their own experience. Can they identify any specific rules and procedures?
OBJECTIVE: To make people think about their scores and identify problem areas.

17. Reasons for No Procedures
Procedures may cause problems as they:
Become more complex over time
Are written with unrealistic assumptions
Often are an overly simplistic solution to a hard problem
Their level does not match the user
OPTIONAL
SLIDE
I. FACILITATOR NOTES:
This slide is meant as an introduction to section 4.5 of the Step-by-Step module in the Managing Rule Breaking brochure.
You will find more information on the subject in section 3 of the Managing Rule Breaking brochure (pages 6 and 7).
Instead of immediately presenting this slide, you can introduce it in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants in small groups.
Ask them whether they think procedures can cause problems.
What sort of problems?
How?
Ask the groups to share their findings with the rest of the audience.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience whether they think procedures can cause problems.
OBJECTIVE: To make people people think about the reasons why procedures can cause problems.
II. THEORY
Procedures can cause problems as:
Many start simple but are extended after incidents and become unworkable over time.
Procedure writers make unrealistic assumptions about the users.
Designers often assume that people can solve the problems they couldn’t design out, so some procedures are an overly simplistic solution to a difficult problem.
Procedure writers need to make sure the levels of procedures match their users.

18. Reasons for Procedures
Complicated jobs
Long instructions
Non-obvious safety checks and standards
Information for safe and effective operation
Define the steps order when alternative sequences are possible
Define common work practices
Ensure everyone “plays the same game”
Information transfer as new people arrive
OPTIONAL
SLIDE
I. FACILITATOR NOTES:
This slide is meant as an introduction to section 4.5 of the Step-by-Step module in the Managing Rule Breaking brochure.
You will find more information on the subject in section 3 of the Managing Rule Breaking brochure (pages 6 and 7).
Instead of immediately presenting this slide, you can introduce it in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them why the procedures are needed.
Ask the participants to share their findings with the rest of the group.
Whole Group (max 10 people)
Ask the audience the procedures are needed.
OBJECTIVE: To remind people why rules and procedures are so important.
II. THEORY
Most jobs are too complicated for their individual steps to be evident.
The information necessary to perform tasks correctly may be too complicated to remember.
Safety checks and requirements are not always obvious.
Record what is vital for safe and effective operation.
Define the order in which actions have to be taken when alternative sequences are possible.
Define common work practices so that unexpected interactions can be avoided.
Ensure everyone “plays the same game” (e.g. everyone drives on the same side of the road).
Transfer information from one person to the next as people change faster than jobs.

19. Writing a Good Procedure
Involve your team in a process
Review what happens in practice
Remember: people make mistakes
Define the end-user
Check HSE requirements
Identify critical sequence activities
Place memory aids
Try it out
Define review criteria
Update on regular bases
OPTIONAL
SLIDE
I. FACILITATOR NOTES:
This slide is meant as an introduction to section 4.5 of the Step-by-Step module in the Managing Rule Breaking brochure.
You will find more information on the subject in section 3 of the Managing Rule Breaking brochure (pages 6 and 7).
Instead of immediately presenting this slide, you can introduce it in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to write down suggestions on how to write a good procedure.
Ask each group to present their suggestions to the rest of the audience.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience to come up with the suggestions on how to write a good procedure.
Write them down on a flipchart.
OBJECTIVE: To make people realise that writing a good procedure requires a lot of work.
II. THEORY
Involve your team in writing and assessment process.
People who write their own procedures do not make them too complicated.
Submit procedure for assessment to management, supervisors and users.
Review what happens in practice – no one is perfect, and perfect procedures don’t exist.
Remember that people make mistakes and don’t assume it won’t happen.
Define the user – ask if a procedure is necessary at all.
Check HSE critical requirements for the task.
Identify activities that have a critical sequence – are they in the right order?
Place memory aids close to the action – checklists can be bolted to the equipment.
Try them out yourself – can you get the job done? Define review criteria – writing a procedure is only the beginning.

20. Writing Good Procedures
Use short sentences
Use active voice
Be direct
Tell the reader what to do
Use short words (“Raise” instead of “elevate”)
Do not use abbreviations or acronyms
Be consistent with terminology
Do not assume the reader knows something
Put steps in the right sequence
OPTIONAL
SLIDE
FACILITATOR NOTES:
Use this slide if you would like to pay more attention to the issue of writing good procedures.
You will find more information on the subject in the paper of Dr. John Robert Dew: Procedure Writing.
The paper can be downloaded from the website of the University of Alabama:

21. Improving Safety By Improving Procedures
Are the existing procedures
Correct?
Available?
Understandable?
Actually understood?
Are there any unnecessary ones you could get rid of?
Do resources and circumstances allow rule-following?
Is rule following rewarding?
Do people feel comfortable to use their initiative without risks?
Is the improvement progress reviewed regularly?
OPTIONAL
SLIDE
I. FACILITATOR NOTES:
This slide is meant as an introduction to section 4.5 of the Step-by-Step module in the Managing Rule Breaking brochure.
You will find more information on the subject in section 3 of the Managing Rule Breaking brochure (pages 6 and 7).
Before presenting this slide ask the participants how improving procedures can improve safety.
What do they think is the most important thing in a procedure?
Does it pay off to follow the rules or do they just complicate the work?
Which procedures can be removed?
How can one identify the procedures that are causing problems?
OBJECTIVE: To show the participants how to critically evaluate established rules and procedures.
II. THEORY:
Some general characteristics of good procedures:
1. Short and to the point. Specific.
a. How to operate a piece of equipment.
b. How to administer a treatment.
c. How to run a test.
d. How to do maintenance on equipment.
2. Written with the user in mind, not the expert.
3. Developed so that they can be read and used under stress.
4. Use a simple numbering and identification system.
5. Placed where the users can get them.
If the procedures are causing problems they should be changed, re-written, updated or removed. One can locate troublesome procedures by:
Finding the most common types of violations
Re-evaluating the rules and procedures that might be causing them.

22. EXAMPLE: SPECIFIC PROCEDURE
Group Debate
EXAMPLE: SPECIFIC PROCEDURE
What is its purpose and which hazards does it control?
Do we need it?
What are the consequences of removal?
Are all the hazards still under control?
What if the removal is not possible?
FACILITATOR NOTES:
This slide refers to section 4.5 and 4.6 of the Step-by-Step module in the Managing Rule Breaking brochure.
Split the audience into two equally sized groups.
Choose one of the procedures identified earlier problematic and present it to the group.
Debate – Do we need this rule or procedure?
One group has to argue YES, the other NO.
Ask the audience to write their reasons on post-its and stick them in relevant column on the flip chart.
Finally, discuss with the whole group which side wins.
Depending on the conclusion of the debate you can do different things:
If the conclusion is that the rule or procedure is not needed, then discuss consequences of its removal.
If the conclusion is that the rule or procedure should be kept, proceed to Hints and Solutions (Section 5 in the Managing Rule Breaking Brochure).
Discuss improvements and select an effective solution that will be complied with. Enter chosen solutions on flip chart.
If improvement of rule or procedure is really not possible, examine possible ways of ensuring compliance in future (Sections 6-7 of the Managing Rule Breaking Brochure).
OBJECTIVE: To show the audience how to critically evaluate established rules and procedures.

23. Creating Compliance Discussion
How can we be more compliant?
Compliance through consequences
Reward or Punishment
Group Pressure
What hazards are being managed?
What type of accidents could take place?
What are the advantages of non-compliance?
Is it worth the risk?
Will individuals comply if enforced by the group?
Are there alternatives to compliance? How will the group ensure compliance?
How does a group create compliance?
Forcing Functions
Is there a way of ensuring compliance by creating a situation in which there is no opportunity to violate?
OPTIONAL
SLIDE
FACILITATOR NOTES:
This slide refers to section 4.6a of the Step-by-Step module in the Managing Rule Breaking brochure.
Present this slide if the outcome of the debate is that the particular rule or procedure cannot be removed.
There are two ways you can introduce this exercise to the group:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to discuss the above topics. You can assign a different topic to each group.
Ask each group to present their suggestions to the rest of the audience. Encourage a discussion by asking each group to defend their topic.
2. Whole Group (max 10 people)
Encourage the audience to discuss the above topics.
In order to facilitate the discussion ask questions like:
Do you think this manner of ensuring compliance will have better effect? Why?
Can you think of any examples?
What kind of rewards do you think work best?
Etc
OBJECTIVE: To think about different ways of ensuring compliance.

24. Rewards and Punishment
Creating Compliance
Rewards and Punishment
Rewards and recognition
Takes time to work
Rewards need to be given close in time to the behaviour being rewarded
Often small non-material rewards work best
Personal praise and recognition is particularly effective
Punishment
Effective in the short term
Problem: people are likely to change their behaviour to avoid punishment rather than to act safely
Must be seen as just and fair
OPTIONAL
SLIDE
I. FACILITATOR NOTES:
This slide explains in more detail issues we have just identified.
Present this slide if the outcome of the debate is that the particular rule or procedure cannot be removed.
You will find the list of low cost motivators among the back up slides.
Additional tips and suggestions can be found on page 14 in the Managing Rule Breaking brochure (section 7.0).
Before presenting this slide, ask the group what would motivate them to work safely:
A punishment or a reward?
What kind of punishment/reward?
For how long?
II. THEORY
REWARDS
Rewarding people makes them more likely to repeat the behaviour.
In order to to be effective they must be given close in time to the behaviour being rewarded.
There are different kinds of rewards:
Material Rewards People start to treat rewards, particularly financial ones, as a right, not just a bonus. People become focused on rewards and lose interest. Small, immaterial rewards seem to work better because it is the recognition that matters.
Praise and Encouragement Praise and encouragement always motivate. “A pat on the back”, a barbeque for the team, praise in front of the colleagues, are all signs of appreciation. Praising groups as a whole is good, but the most is gained by personal praise and recognition; e.g. senior managers talking personally to individual operators and supervisors while on site visits.
2. PUNISHMENT
Gains attention the first time but does not create long-term improvement.
People will change their behaviour to avoid punishment rather than to act safely. E.g. consider people’s behaviour towards speed cameras when driving.

25. Group Pressure and Forcing Functions
Creating Compliance
Group Pressure and Forcing Functions
Group pressure
Through competition between groups or using group rewards
Only works if people want to be part of the group
To be effective, group needs to last at least six months
To be effective, group should contain some people already doing the right thing
Forcing functions
Ways to force behaviour
A vehicle will not start unless the seat belt is used
The mobile phone on/off switch is connected to the handbrake circuit (brake off, phone off)
You can only start shift during the tool-box talk
OPTIONAL
SLIDE
I. FACILITATOR NOTES
This slide explains in more detail issues we have just identified.
Present this slide if the outcome of the debate is that the particular rule or procedure cannot be removed.
Additional tips and suggestions can be found on page 14 in the Managing Rule Breaking brochure (section 7.0).
II. THEORY
GROUP PRESSURE
Using teams to influence each other’s behaviour can be used to create pressure to conform. However, one must realise the group pressure will only work if:
People want to be part of the group
The group has lasted for at least 6 months.
The group contains several people already doing the right thing.
2. FORCING FUNCTIONS
An environment in which people have no option but to behave in certain ways.
It works but is usually regarded as annoying.

26. How can we be more compliant?
Action Plan
How can we be more compliant?
What are you going to do?
Who will do it?
When will it be done?
Who and when will review it?
Is your Action Plan SMART:
Specific?
Measurable?
Achievable?
Realistic?
Time based?
FACILITATOR NOTES:
This slide refers to section 4.7 of the Step-by-Step module in the Managing Rule Breaking brochure.
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to select a course of action that will lead them and others to be more compliant
Ask each group to present their plan to the rest of the audience.
Whole Group (max 10 people)
Discuss with the participants a course of action that will lead them and others to be more compliant
To facilitate the discussion ask questions like:
Where are you now?
Where do you want to be?
What can you do to improve?
Suggest to the participants to carry their Action Plans in their pockets or hang it on the wall. This will make the plan prominent and allow the improvement process to be reviewed on daily bases.
TO MAKE THIS WORKSHOP SUCCESSFUL IT IS ESSENTIAL TO ENSURE THE PLANNED ACTIONS WILL BE FOLLOWED UP!

27. Questions FACILITATOR NOTES
Use this slide to answer any questions the participants may have.
This is also the time to ask them what they have learned during the workshop.
Together, you can re-examine the flip chart you have filled in at the beginning of the workshop.
Ask the participants whether the workshop was up to their expectations?
If not: what would they like to be different?
Which topics should be treated with more attention? Which were, according to them, not necessary?

28. Backup Slides

29. Examples of violations

30. An Unintentional Violation
Example of poor procedure/instruction:
PR 1508 LIFTING TUBULARS
The slings should be doubled wrapped with a choke hitch taking care not to cross over the sling on the underside of the pipe or pipe bundle. The choke hitch should be pulled tight to secure the bundle and a bulldog grip fitted. A tie wrap should then be fitted to prevent the reeving eye slipping over the bulldog. The included angle between the choke hitches shall not exceed 120 degrees
THEORY
This is an Example of an Unintentional Violation. The rule is written in such a complex way, it is virtually impossible to understand it.

31. Another Unintentional (Routine) Violation
It is OK here… or not?
Clearly on obstruction here and no parking
THEORY
What makes this an unintentional violation is the fact that the situation is so unclear it is impossible to follow the rules.
Vehicle wheel clamped for violation

32. Types of Rule-Breaking: A Situational Violation
It is sometimes impossible to get the job done while following the rules
A steel worker was killed when they fell 20 m from a structure under construction. After investigation it occurred that even though harnesses were provided there was no provision for fixing the broken ones and there were no other safeguards available. As the workers were afraid of losing their jobs if they refused to work, they kept on using the broken harnesses while fulfilling their tasks.
THEORY
This is an example of a Situational Violation from the side of the workers but Organisational Violation from the side of an organisation.

33. A Personal Routine Violation
Rules are broken in order to reach a personal goal. Additionally, everyone involved feels the rules are irrelevant and they no longer appreciate the dangers of the situation
THEORY
It is clear that most of the people parking here act with disregard to the “Reverse Parking” Traffic (Routine Violation). It is probably more comfortable to park this way which makes it a Personal Optimising Violation.
Everyone does it like that!

34. Personal Optimising Violation
Rules are broken in order to reach a personal goal
Because they were in a hurry to get home early, instead of asking for a scaffold, a construction worker used their own ladder to tighten a screw at 5 m height.

35. Organisational Optimising Violation
Done with the intention of achieving organisational goals. Getting the job done faster, cheaper etc
During the conceptual design of a project, a number of environmental considerations are dropped in order to reduce costs and speed up the work

36. Reckless Violation
A rule was violated without thinking or caring about the consequences
A fuel tanker driver knows that lack of attention can cause an accident, possibly resulting in an explosion, but still uses a mobile phone while driving at high speed on a busy highway.

37. Exceptional Violation
When your friend is overcome by H2S the human reaction is to want to help them, whereas the rule (correctly) says leave them and get help. Often the first person survives but those who try and help without BA usually die
When attacked by a bear lie down in front of it and keep very still and quiet (unless it is a black bear, in which case screaming seems to work best)
During the Piper Alpha incident, a couple of the crew decided to leave the mustering area whereas most of the crew stayed-put (the rule said so). Those who made the former choice, survived
THEORY
Exceptional Violation is a very rare sort of violation. It appears in the novel and, usually, extreme situations.
It very often occurs when an a person is attempting to solve a difficult and unusual problem for which there is no procedure as such but in the course of solving the problem they violate a general safety rule (.g. never run into a burning house).
As unpredictable, these violations are difficult to address but training the staff for extreme occasions should be considered.
Example:
You are involved in a car accident. Your family is trapped and the car is about to be engulfed in flame. Your human tendency is to save them against all odds (even to the point of getting yourself killed in the process).
Running into a burning house to save a child.
Jumping from a high bridge into a river in order to help a drowning man.

38. Low Cost Motivators Write a letter of commendation
Ask employees for advice/opinions
Give verbal praise
Pass along compliments you received from others
Write an /memo to a superior and cc the employee
Put positive information in the employee’s productivity file
Provide quick follow up on problems/hazards when recognised
Post positive achievements on the safety bulletin board
Say “Thank You” and mean it
Allow flextime
Designate special parking places
Give out award plaques, trophies or diplomas
Feature an employee of the month
Recognise peers that have helped you
Have a coffee/juice morning to acknowledge accomplishments
Thank somebody that contributes ideas, regardless on whether you use it
Always give others credit when due
Create group awards to recognise teamwork
Ask the employees how they want to be recognised
Ask a superior to write a memo acknowledging an accomplishment for your employee
Post complimentary letters on the safety bulletin board
Send employees to special seminars and workshops that may interest them
Safety Day
Safety Olympics
Safety T-Shirts
Dinner for two gift
Certificates
Weekend stay at bed & breakfast

39. Three Levels of Procedures
Rules and Guidelines
Define acceptable operating standards
Define Good Practice
Assume a level of operator competence
Work Descriptions
Operate within Guidelines
Describe advisory steps, actions and sequences
Require co-ordination with more people
Work Instructions
Step by step requirements
For use in critical or complex situations
Defined for operators with lower basic competencies
Often required legally
FACILITATOR NOTES:
Instead of just presenting this slide you can introduce it in a form of the exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to provide some examples of different levels of procedures.
Ask the participants to share their findings with the rest of the group.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience to provide some examples of different levels of procedures.
OBJECTIVE: To make people aware that different people and different tasks require different sorts of procedures.

40. Safety Improvement Remove Procedures Rewrite Procedures Job Redesign
Job enlargement
Job enrichment
Flexible working groups, including job rotation
Workforce Involvement
Variance Permits
Enforcement
I. FACILITATOR NOTES:
The purpose of this exercise is to make participants aware of different ways of managing rule breaking.
Instead of immediately presenting this slide, you can introduce it to the audience in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to write down any suggestions on how to improve existing procedures.
Ask each group to present their suggestions to the rest of the audience.
Present the slide and check how many suggestions are in common.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience to come up with the ideas on how to improve existing procedures.
Write their ideas on a flipchart.
II. THEORY
Remove Procedures when they do not control a significant hazard, and there is no interaction with other requirements.
Rewrite poorly written Procedures to make them easier to follow.
Consider Job Redesign for particularly boring and monotonous jobs, where violations arise from boredom.
Workforce Involvement – Involve the staff in writing and evaluating their own procedures. The group members ensure compliance to their own rules.
Variance Permits – Rules can be varied once risks have been assessed, barriers are in place and all involved are informed.
Enforcement – Incentives for rule compliance promote compliance.  

41. Managing Violations Type of violation Main cause Main solutions
Unintentional Violation –
Understanding
Complexity
Poor documentation
Failure to consider end users
Reduce and simplify rules
Rewrite procedures and rules
Involve users in their development
Unintentional Violation – Awareness
Poor training
Rules not available
Better communication and training
Rules/standards available in local language
Situational Violation
Lack of resources
Failure to understand working conditions
Provide necessary resources and equipment
Provide flexibility and variance in procedures to meet all likely situations
Exceptional Violation
Unexpected situations – no obvious rules
Pressure to solve problems
Train for the unexpected
Develop situation awareness skills
Acquire general problem solving skills
See other Hearts and Minds Tools modules
I. FACILITATOR NOTES:
Instead of immediately presenting this slide, you can introduce it to the audience in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to write down any suggestions on how to manage violations.
Ask each group to present their suggestions to the rest of the audience.
Present the next slide and check how many suggestions are in common.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience to come up with the ideas on how to manage violations.
Write their ideas on a flipchart.
OBJECTIVE: To make participants aware of different ways of managing rule breaking.

42. Managing Violations Type of violation Main cause Main solutions
Unintentional Violation –
Understanding
Complexity
Poor documentation
Failure to consider end users
Reduce and simplify rules
Rewrite procedures and rules
Involve users in their development
Unintentional Violation – Awareness
Poor training
Rules not available
Better communication and training
Rules/standards available in local language
Situational Violation
Lack of resources
Failure to understand working conditions
Provide necessary resources and equipment
Provide flexibility and variance in procedures to meet all likely situations
Exceptional Violation
Unexpected situations – no obvious rules
Pressure to solve problems
Train for the unexpected
Develop situation awareness skills
Acquire general problem solving skills
See other Hearts and Minds Tools modules

43. Managing Violations Type of violation Main cause Main solutions
Organisational Optimising Violation
Pressure from others
Understand causes of pressure
Management to set clear expectations
Intervene in a consistent manner
Apply clear consequences (positive and negative) to both the individual and the supervisor/ manager
Make rules easier to follow
Improve competence
Personal optimising
Personal convenience
Routine
Unnecessary rules
Poor attitude to compliance
Weak supervision
Remove rules (but still control the hazard)
Improve attitudes to rule breaking
Address the type of violation that has become routine
Apply clear consequences for individuals and their managers
Improve intervention skills
I. FACILITATOR NOTES:
Instead of immediately presenting this slide, you can introduce it to the audience in a form of an exercise.
There are two ways you can do this:
Small Groups (4-6 people)
Divide the participants into small groups.
Ask them to write down any suggestions on how to manage violations.
Ask each group to present their suggestions to the rest of the audience.
Present the next slide and check how many suggestions are in common.
Consider small rewards for best performance e.g.: a pen, a keychain, a local delicacy, etc.
Whole Group (max 10 people)
Ask the audience to come up with the ideas on how to manage violations.
Write their ideas on a flipchart.
OBJECTIVE: To make participants aware of different ways of managing rule breaking.

44. Managing Violations Type of violation Main cause Main solutions
Organisational Optimising Violation
Pressure from others
Understand causes of pressure
Management to set clear expectations
Intervene in a consistent manner
Apply clear consequences (positive and negative) to both the individual and the supervisor/ manager
Make rules easier to follow
Improve competence
Personal optimising
Personal convenience
Routine
Unnecessary rules
Poor attitude to compliance
Weak supervision
Remove rules (but still control the hazard)
Improve attitudes to rule breaking
Address the type of violation that has become routine
Apply clear consequences for individuals and their managers
Improve intervention skills