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Meeting Expectations
A line managers toolkit
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Instructions for Using the Model

The principles in Managing Rule Breaking can be used The model provides the categories into which an act or
reactively to determine the consequences for certain behaviour can be placed, and gives guidance on the kinds of
behaviours, both positive and negative. This is done through consequences appropriate for each category. The model uses
the application of the Meeting Expectations Model. the same categories for violation as the rest of the Managing
Rule-Breaking brochure.

What is the Meeting Expectations Model for? When using the model, leaders need to exercise judgement
both in selecting the category into which a particular act or
The model links behaviours (both good and bad) with the behaviour fits best, and also in deciding the specific conse-
consequences people (individuals and their managers) can quences to apply. Special recognition or disciplinary measures
expect. The aim of the model is to improve consistency must only be carried out after consultation with local HR
and fairness, both when recognising and rewarding people who are the custodians of local policy, practice, consistency,
for exemplary behaviour and when applying disciplinary fairness and due process. In making such decisions, leaders
measures. should seek to establish the exact circumstances that led up

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Meeting Expectations Model
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to the act or behaviour in question. In the case of an consequences – in serious cases local disciplinary procedures
incident, the report of the incident analysis will normally should be followed. If someone makes an error, or breaks a
provide the key information. rule they were unaware of, simply blaming the individual is
unjust, unfair and fails to address the underlying
What issues does it address? organizational weaknesses that could contribute to other
1 When things go right, we tend to take for granted the incidents. Similarly this applies to rules routinely broken,
actions and behaviours of the individuals who contributed to without comment from the supervisor or that were plainly
it. Doing a good job deserves recognition and being rewarded impossible to follow and still get the job done.
makes people more likely to do the right thing in the future.
Praise, special awards or payments are given for exemplary Finally, it may be that a person is not suited to a particular
actions, but there is significant variation in how leaders make type of work, or may become so, even temporarily, due to
use of these. Recognition and reward schemes can be counter- health or other reasons. In such cases, their fitness to work
productive if they are not seen to be inclusive and fair. should be assessed – a change to a different type of work
could be considered.
2 When things go wrong many investigations do not go far
enough. They seek to identify the error or rule violation that Q: Who uses the model?
was “the cause”. But this is seldom the entire issue; human A: Line managers with guidance from HR professionals.
error or rule violation is almost always a symptom rather than
a initial cause. The underlying causes of an incident need to Q: When is the model used?
be discovered. Solving these will always prevent many more A: The model is used either:
incidents than just concentrating on the direct causes. i) after someone has shown exemplary behaviour or action;
ii) after an incident investigation. The model should NOT be
When an individual makes a wrong decision, or forgets to do used until the incident investigation is completed and the
some important task, there may be contributory factors such underlying sytemic causes identified.
as a confusing procedure, inadequate supervision or
distractions (e.g. noise, interruptions). Such ‘system’ factors Q: How is the model used?
should always be sought and eliminated as far as practicable. A: The supervisor or manager uses the model on the previous
However, if an individual has not been trained properly, or page to help determine which category the behaviour falls
has not developed the good practices necessary to perform the into. (This can be done with the help of the decision flow
task safely, then coaching to improve their competence or chart). If it is an exemplary action, the model refers to the
develop more appropriate working practices should be table of possible positive consequences for the manager to
the norm. choose from. If it is an undesirable action, the incident
analysis must identify the type of error or violation, and
3 If someone behaves recklessly or breaks a sound and also determine if the action is ‘routine’. The tables are
well-known rule to gain some personal advantage, then it is found on the following pages.
reasonable that they should undergo appropriate

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Human Error and Violation decision flowchart


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Q: What if this has happened before? capable of being adhered to and actually followed. If so,
A: If the error or violation is ‘routine’ then supervisors and then these supervisors and their managers should have this
managers further up the line may not be meeting their consequence management framework applied to them, as
responsibilities. They may not be creating a working well as to the individual who made the error or violated
environment where clear standards are set and where it is the rule.
ensured that rules and procedures are fit for purpose,
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Special recognition or disciplinary measures must only be carried out after ������
consultation with local HR who are the custodians of local policy, practice, ������ �������� ����������
consistency, fairness and due process.

Behaviour Description of Behaviour Consequences for the Consequences for the Managers
Individual of the individual

Excellent in Risk Risk identification, planning Recognition / Reward - at the If this behaviour is displayed by a whole
Identification, or risk management has discretion of the line manager, team, or regularly by some members of the
Planning and reduced the likelihood in line with local HR policy and team, their supervisor/manager should also
Managment of human error or the in agreement with HR manager. receive appropriate Recognition/Reward -
creation of situations that at the discretion of the line manager, in line
lead to violations. This is Examples are: with local HR policy and in agreement with
characterised by taking a • Praise HR manager.
step back from a situation to • Public Recognition
reflect on what is happening • Special Recognition Awards Examples are:
and how the risks could be (SRA) • Praise
better managed. Examples • Individual Performance Factor • Public Recognition
of models that help with (IPF) • Special Recognition Awards (SRA)
this are: Effective contractor • Positive performance • Individual Performance Factor (IPF)
management, Job Hazard appraisal • Positive performance appraisal
Analysis and The Rule • Career progression • Career progression
of Three.

Creating a Creating trust, good


more Effective communication and clear
Working expectations in a team.
Environment E.g. effective use of ‘Hearts
and Minds’ models ‘Seeing
Yourself as Others See You’
‘Understanding Your Culture’.

Effective Sharing experience in a way


Sharing that gives genuine benefit to
of Lessons others e.g. highly effective
Learned communication; using lessons
learned to improve a working
practice.

Normal Doing what is normal and Recognition from line supervisor Encouragement and recognition from line
Behaviour required for your job. and supervisor’s management. manager and senior managers if whole
team is working this way.

Effective Recognising and intervening Recognition from line supervisor Encouragement and recognition from line
Intervention in a potentially problematic and supervisor’s management. manager and senior managers if whole
situation. Examples: stopping team is working this way.
your own job or someone
else’s; catching errors;
preventing someone from
breaking a rule. Also includes
being receptive to others’
interventions.
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Special recognition or disciplinary measures must only be carried out after ������ �������� ����������
consultation with local HR who are the custodians of local policy, practice,
consistency, fairness and due process.

Behaviour Description of Behaviour Consequences for the Consequences for the Managers
Individual of the individual

Human Error Human error is a part of life that can rarely be eliminated entirely. Disciplinary actions in line with local practices
and guidelines are usually not appropriate when slips, lapses or mistakes have been made, but many things can
be done to prevent their (re-)occurrence.

Slips and Actions that did not proceed Coaching on how to spot errors, Coaching in Error Management.
Lapses as planned e.g. something what influences the occurrence
was done twice, the wrong of slips and lapses and the
way or a step is forgotten. importance of reporting them
to aid detection of trends and
underlying causes.

Mistake Mistakes are actions that Competence development/ Coaching in Error Management and
proceed as planned but do coaching Competence Management.
not achieve their desired
end. (Incorrect decision or
inadequate plan).

Routine Error It is not the first time that this Whole team to receive coaching Coaching in Error Management and
Same errors by type of error or mistake has on how to spot errors, what Competence Management.
different people happened. influences the occurrence Performance appraisal affected for not
of slips and lapses and the addressing clear problems in own area.
importance of reporting them
to aid detection of trends and
underlying causes.

Routine Error It is not the first time that this Assessment of fitness to work Coaching on Fitness To Work.
A personal type of error or mistake has (abilities and suitability for this
history of errors been made by this person. type of job). If appropriate,
– when the Other people in similar competence development
same errors are situations do not make this and coaching, if not consider
not made by error. assigning alternative more
others in similar appropriate type of work.
situations

Unintended A rule or procedure violated Competence development/ Coaching on how to ensure procedures are
Violation because people were not coaching correct, available, and understood.
aware of the rule or did not
understand it.

Situational A job cannot be done if the Coaching on the need to Coaching on Managing Rule Breaking. If
Violation rules are followed. Instead speak-up when rules cannot be this type of situation has occurred before
of stopping the job it is followed and to stop the job until performance appraisal is affected for not
done anyway and the rule is it can be done safely. demonstrating commitment to
violated. rule compliance.
Mild disciplinary action in
line with local practices and
guidelines.

Organisational The person committing the Coaching on the need to Performance appraisal is affected
Optimising violation thought it was speak-up when rules cannot be Coaching on Managing Rule Breaking.
violation better for the company to followed and to stop the job until
Optimising do it that way. The violation it can be done safely. If this type of violation has occurred before
for company was committed to improve there should be formal discipline for reckless
benefit performance or to please the Mild disciplinary action in supervision in creating a culture that
supervisor. line with local practices and encourages this behaviour.
guidelines.
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Special recognition or disciplinary measures must only be carried out after ������ �������� ����������
consultation with local HR who are the custodians of local policy, practice,
consistency, fairness and due process.

Behaviour Description of Behaviour Consequences for the Consequences for the Managers
Individual of the individual

Personal The person thought it was Formal discipline. Performance appraisal is affected for not
Optimising better for them personally to becoming informed about clear problems in
Violation do it that way e.g. getting If this has happened before, then own area.
Optimising for a longer work break, easier formal warning process should
personal benefit way of doing the job, doing be followed. Coaching in using Managing Rule Breaking
it faster, etc.) together with team.
Consider anonymous publication
of the violation and its If this type of situation has occurred before
consequences for worker and performance appraisal is affected for
their managers. condoning violation or not taking action.

The reason for condoning this behaviour


should be investigated; the model and
flowchart will help determine whether the
manager’s behaviour was itself an error or
violation.

Reckless The person committing the Suspension of the activity Coaching in how to recognise and deal with
Violation violation did not think or pending further investigation. such behaviour earlier.
care about the consequences.
Gross Negligence can be Depending on the outcome
considered a part of this type of the investigation a formal
of violation. warning or other disciplinary
action in line with local practices
and guidelines.

Routine Other people would have Whole team to receive coaching Performance appraisal may be affected for not
Violation done or do it the same way. in using Managing Rule Breaking becoming informed about clear problems in
Everybody does Checking for this type of own area.
it like that violation can be done by using
the ‘substitution test’. Coaching in Managing Rule Breaking together
with team.
Substitution Test: Would a
significant proportion of If this type of situation has occurred before
individuals with the same performance appraisal is affected for
training and experience have condoning violation or not taking action.
acted in the same way under
the same circumstances?

Routine The individual has a history Formal disciplinary action in Coaching in how to recognise individual
Violation of violation, disregard for line with local practices and violators.
A personal the rules and procedures in guidelines. Performance appraisal is affected if it is found
history of general, not just frequent that violating is condoned or no action taken.
violations violation of the rules under If there are many routine violations of
investigation. this type the reason for condoning this
behaviour should be investigated, the model
and flowchart will help determine whether
the manager’s behaviour was an error or
violation.

This brochure has been developed by SIEP B.V. for use by


The Hearts and Minds logo is a Trademark of Shell and can only be
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used with written permission from SIEP, EPS-HSE. Documents with the
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ECCN: Not subject to EAR - No US content UNRESTRICTED


Copyright Shell International Exploration and Production B.V. EP 2005-9069 Rev 0
P04914 – May 2006

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