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Event Causal Root Factors

The document discusses Events and Causal (Conditional+) Factors Analysis (ECFA), a technique for investigating incidents and identifying root causes. ECFA was developed by Buys and Clark in 1995 and further refined by the Noordwijk Risk Initiative Foundation. ECFA helps verify the sequence of events leading to an incident, identify possible causal factors, and understand their interactions. It provides a structured approach and aids communication during and after an investigation.

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Clerenda Mcgrady
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© © All Rights Reserved
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107 views

Event Causal Root Factors

The document discusses Events and Causal (Conditional+) Factors Analysis (ECFA), a technique for investigating incidents and identifying root causes. ECFA was developed by Buys and Clark in 1995 and further refined by the Noordwijk Risk Initiative Foundation. ECFA helps verify the sequence of events leading to an incident, identify possible causal factors, and understand their interactions. It provides a structured approach and aids communication during and after an investigation.

Uploaded by

Clerenda Mcgrady
Copyright
© © All Rights Reserved
Available Formats
Download as PDF, TXT or read online on Scribd
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Events and Causal (Conditional+)

Factors Analysis

Mary Coffey
ECFA and ECFA+
—  ECFA – Buys and Clark 1995
◦  Assists in verifying the sequence of events
leading to the incident and the possible causal
factors for each event
◦  Provides a structure for integrating
investigation findings
◦  Assists communication during the procedure as
it must be a team approach
◦  Assists communication in reporting back the
findings
◦  Buys and Clark 1995
ECFA and ECFA+
—  ECFA+
- The Noordwijk Risk Initiative
Foundation
◦  Further refinement of the ECFA through
experiences gained over a decade

◦  The Noordwijk Risk Initiative Foundation


ECFA (Buys and Clark)
—  Incidents
rarely simple and almost never
result from a single cause
◦  Multifactoral
–  Human factors
–  Environmental conditions
–  Omissions
–  Oversights
–  Performance related
◦  Different conditions may affect different
elements of the incident
ECFA (Buys and Clark)
—  The incident and its component elements
—  The conditions that created incident
situations
—  The managerial control systems that let
them develop
◦  To identify the root causes by understanding
the interaction of events and causal factors
through a chronological chain of activity
–  starting with an initiation event through to the final
event of the incident
ECFA (Buys and Clark)
—  Will help to
◦  Organise the data on the incident
◦  Guide the investigation
◦  Validate and confirm the true incident sequence
◦  Identify and validate factual findings, probable causes
and contributing factors
◦  Simplify organisation of the investigation report
—  Not used in isolation
◦  Most effective when used in conjunction with other
tools
ECFA (Buys and Clark)

—  Will
help to clarify responsibilities and
reduce incidents by
◦  Providing a cause-oriented explanation
◦  Providing a basis for change
◦  Helping to delineate areas of responsibility
◦  Acting as an operational training tool
◦  Providing an effective aid to future systems design
ECFA (Buys and Clark)

—  Aids in developing evidence by


◦  Detecting all causal factors
◦  Illustrating multiple causes
◦  Providing a visual representation of interactions and
relationships
◦  Illustrating the chronology of events
◦  Providing a flexible interpretation
◦  Linking specific factors to organisation and
management control factors
Retrospective: Events and Causal
Factors Analysis

—  Representatives of all professionals involved


—  Presented with an incident
◦  Analysis in terms of
–  Clearly identifying and mapping the primary event
–  Considering possible
–  contributory factors
–  Systemic conditions
–  Systemic factors
ECFA - Events and Causal Factors
Analysis

Typical ECFA work team using PostIt and a


White board
http://nri.eu.com/NRI4.pdf
ECFA - Events

Events What, When, Who

1.  Define what you consider to be the primary


incident – what actually happened- and enter
the individual events in sequence in the
central row
2.  Track in logical progression from beginning to
end (try to define the logical sequence)
ECFA - Events

Events What, When, Who

1.  Important that you describe an actual


occurrence and not a condition
2.  Events are active so use a verb for each event
and be precise
3.  Describe each event separately
ECFA - Events

Events What, When, Who

1.  If appropriate define what you consider to be


secondary events and place these in the rows
above or below the primary event
Primary and Secondary events

MLC
Incomplete points
saving of Appears
Final plan Error moved to ‘frozen’
calculated plan message holding
displayed area

Secondary events

Planner
Plan modification Old New responds Second
Plan save Appears
fluences fluences save
requested by yes to ‘frozen’
deleted created attempted
clinician error attempted
message
Primary Events
ECFA - Contributory factors

Influences Contributory
Factors

1.  Describe states or circumstances


2.  Passive and not active
3.  Conditions that could have influenced the
event or if they had been different might
have resulted in a different outcome
Plan
assessment Complex error Complex data
before fraction message storage Contributing
one inadequate
Factors

MLC
Incomplete points
saving of Appears
Final plan Error moved to ‘frozen’
calculated plan message holding
displayed area

Secondary events

Planner
Plan modification Old New responds Second
Plan save Appears
fluences fluences save
requested by yes to ‘frozen’
deleted created attempted
clinician error attempted
message
Primary Events

Request for
change during
treatment
Contributing
Factors
The exercise - Events

1.  Read the incident carefully


2.  Transcribe all the actions onto individual
post-it notes
3.  Place on the chart in what you consider
the sequence to be
4.  Review
The exercise – Conditions/
Contributory factors

1.  Consider the conditions that existed when


the incident occurred
2.  Write all the conditions on post-it notes
3.  Match conditions with the different
elements of the incident
4.  Add conditions to the chart
5.  review
The exercise – Conditions/
Contributory factors

1.  Identify what you consider to be systemic


conditions or systemic factors
2.  Review and agree on your final
configuration
Retrospective: Events and Causal
Factors Analysis
Management
or supervisor Systemic factors
failure

Too many
Heavy workload Systemic condtions
staff

Unclear Staff not


Senile Lack of Observation Contributing factors
setup familiar w
Patient equipment
communication failure
instructions patient

Patient Patient Beam


Treatment Unit Treated wrong Primary events
changed positioned on Beam selected positioned
Service target/isocenter
treatment unit couch incorrectly

Field names Field/target


confusing connection Contributing factors
missing

R/V design
flaw Systemic condtions

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