221: Disregard for Company Procedures/Policies*

Node Disregard for Company Procedures/Policies*

*This node is for descriptive purposes only. Code only to Personnel Performance; Individual Issue (#213).

Definition/Typical Issues

Was the problem the result of a poor attitude on the part of an individual? Did the individual deliberately ignore the rules, even though he or she understood the consequences?

Typical characteristics of personnel with a disregard for company policy include the following:

  • Engages in horseplay
  • Is not at the work location
  • Does not perform the expected work
  • Exhibits maliciousness
  • Exhibits insubordination
  • Exhibits the inability to work well or communicate with other people
  • Ignores safety rules

Note 1: The Personnel Performance Issue; Individual Issue (#213) node should only be used when the problem is isolated to one individual. If other personnel have difficulty performing the same task under similar circumstances, then other portions of the Root Cause Map™ should be used to code the issue.

Note 2: There should be management systems in place to detect and correct most (if not all) individual performance issues BEFORE an incident occurs. Therefore, the failure or absence of the management systems should be coded as well.

Note 3: Consider coding under the Personnel Hiring Issue (#209) node because there should be management controls to ensure that employees possess the required job capabilities prior to being hired. Also consider coding under the Supervision During Work Issue (#192) or Detection of Individual Performance Issue (#212) nodes because supervision should detect this problem.

Note 4: Code as Personnel Performance Issue; Individual Issue (#213) only. The 10 nodes beneath Individual Issue (#213) are included to provide the investigator with an understanding of the types of problems that might be categorized as Personnel Performance Issue; Individual Issue (#213). However, the investigator should NOT include these cause nodes in the investigation report.

Examples

Example 1

  • An operator failed to close a valve while filling a tank, resulting in an overflow from the tank and a process upset. The operator was often away from his assigned work location for personal reasons, such as making personal phone calls.

Example 2

  • A procurement clerk was running a Web site on his computer at work. He was selling spare parts for vintage motorcycles over the Web site and used the warehouse shipping system to send the parts to his customers.

Example 3

  • Personnel failed to obtain a hot work permit because they were only going to perform a minor repair involving a very small weld. Normal practice included getting a hot work permit.

Typical Recommendations

  • Disciplinary policies should be used to reinforce compliance with company rules and policies:
    • Discipline should be fair, impartial, prestated, sure, and swift
    • Enforcement needs to be consistent
  • Establish and enforce a zero-tolerance policy for willful violation of company policies.

Cross-References 

Version 10 Element(s)
Node ID Node Name
213 Attitude/Attention LTA

 

Maritime Element(s)
Node ID Node Name
253 Disregard for Company Procedures/Policies
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