integration of quality into accident investigation processes asq columbia basin section 614 john...
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Integration of Quality Into Accident Investigation Processes
ASQ Columbia Basin Section 614
John CornelisonJanuary 2008
Presentation Summary
• Outline system processes for investigation, analysis and reporting
• Identify quality points
Key Elements of Accident Investigation
• Reconstruct what happened
• Collection of information
• Analysis of facts
• Determine why it happened
• Develop findings
• Decide on recommendations
• Write report
Performance Logic
• The investigation and analysis processes should produce a finished report
• Investigation and analysis information (facts) should be ready for the final report
• Information is filtered through a group of causal factors
• The investigator needs to place the information in the right report sections
Quality Considerations For AI Processes
• Written plan and procedures and personnel trained to them
• Experienced investigators• Decisions based on facts and not hearsay• Information and evidence collected controlled• Findings and conclusions based on facts• Recommendations address both Systemic
Management findings and Specific work findings• Use of AI Model to drive processes
Advantages of System Approach
• Accidents are complex
• Divides accident information into usable elements
• Focuses on critical barriers and controls
• AI Model ensures minimum processes
• Structured process for traceability and reliability
• Reduces bias
Accident
Accident Model
Sequence of Events
EnergiesBarriers
Controls
Task Performance
Targets
Status of Work Process- Personnel
- Procedures
- Hardware- Environment
OR
Change
- Pre Accident
- Accident
- Post Accident- Prior
- Present
- Adequate- LTA
1) Management Policy drives which barrier and controls used
2) Barriers and controls must be maintained
3) Multiple barriers and controls must be used
5) Management must maintain work processes in an operational readiness state
6) Management must control changes
4) Management must maintain performance acceptable level
Causal Factors
AI Model Quality Points
• Are your current causal analysis and recommendations preventing similar accidents?
• Causal factor selection may be LTA
• Implementation of recommendations may be LTA
• System for investigation and analysis may need to be changed
Sequence of Events
• Accidents involve a sequence of events that set up LTA conditions – work planning
• Investigation method – Event Charting
• Recreates sequence of events, what happened
• Systemic and specific conditions and causal factors
• Is the system functioning as planned
Quality Points
• Sequence of events in correct order based on time and date
• Requires a complete investigation to ensure correct order
• Looks at both systemic and specific events• Identifies missing sequences• Where did the Systemic and Specific
failures occur; in work planning, in implementation or in control processes
Night shift Oper attended safety comm meeting
6/1/2007 1:30:05 AM Event 1
Safety comm mts once per month
Start at beginning night shift
Night shift complete shift at powerhouse
6/1/2007 6:00:00 AM Event 2
Full shift designed with 6 operators
Shift Boiler Oper, Incin Oper, Comp Oper
Shift Lead Oper, Control Rm Oper
Shift Super
Incinerator assumed resp for comp and incinerators
6/1/2007 6:05:00 AM Event 3
Shift designed to function missing 1
Compressor Oper not on site
Day shift short one Operator
Incin , Lead, Control, Boiler Operators exchanged info
6/1/2007 6:10:00 AM Event 4
Shift turnover protocol Oper to Oper
Turnover specific to their area of operation
Regen in chem injectin state
chem caustic soda
Regeneration Demineralization skid ongoing train 2
6/1/2007 6:15:00 AM Event 5
Regen designed for 2 wks or 200,000 gal
Completed during 12 hour shift
If carry over it is during rinse state
Shift Super exchanged turnover notes
6/1/2007 6:16:45 AM Event 6
Barriers and Controls
• All accidents involve failure of barriers and controls
• Investigation Method – Barrier Analysis• Identifies energy sources, physical
barriers, administrative controls and targets
• Evaluates effectiveness of barriers and controls
• Determines reliability of barriers & controls
SYSTEMS APPROACH TO ACCIDENT INVESTIGATIONBARRIER ANALYSIS
Energies/Hazard Physical Barriers Administrative Controls
Targets/Value Evaluate B&C
Quality Points
• Identifies all the hazards
• Separates physical barriers from administrative controls
• Examines mode of failure
• Identifies all potential targets of value– Personnel, Facilities, Processes, Environment
Task Performance
• Accidents involve work performed which is adequate or LTA
• Investigation Method – Task Analysis
• Identifies basic tasks
• Looks for task errors
• Analyzes task errors for “Can Do” and “Motivational Behavioral Climate”
• Questions methods to ensure performance
SYSTEMS APPROACH TO ACCIDENT INVESTIGATIONTASK PERFORMANCE ANALYSIS
EventNo.
Task Description Task Error Evaluate TaskError
RiskLevel
Quality Points
• Identifies tasks with potential for errors that can degrade system
• Identifies task with errors
• Looks at how the task errors occurred in the work processes
• Quality monitoring to ensure critical systems are not affected by task errors
Status of Work Processes
• Accidents involve many work processes
• Each process may be in a different state of readiness
• Investigation Method – Status of the Work Process Review
• Looks closely at personnel, procedures, hardware and environment in OR mode
• Time and interfaces
SYSTEMS APPROACH TO ACCIDENT INVESTIGATIONSTATUS OF WORK PROCESSES ANALYSIS
EventNo.
Personnel Procedures Hardware Environment OR Status RiskLevel
Quality Points
• Investigates the OR status of key elements of the work process– Personnel– Procedures– Hardware– Environment
• Determines when and how the elements lost their OR status
• Set up monitoring points
Change
• Most accidents involve some type of change in the work processes
• Investigation Method – Change Analysis
• Identifies present conditions and prior conditions
• Looks for differences
• Analyzes changes for affects on setting up LTA conditions
SYSTEMS APPROACH TO ACCIDENT INVESTIGATIONCHANGE ANALYSIS
Present Condition Prior Condition Change/Difference Evaluate Affects of Change
Quality Points
• Investigates how changes in the work processes were managed
• Looks at planned and unplanned changes
• Looks at the interface of the changes with the key elements of the work processes
• Looks at how system performance was affected by the changes
Causal Factors
• Reasons or whys for an accident
• Investigation Method – Root Cause Analysis
• Identifies Systemic and Specific causes
• Looks at chain of causes from management to work and back to management
• Groups causes into 27 categories
Systemic Factors
• Management• Policy• Policy Implementation• Risk Assessment• Technical Information• Hazard Analysis• Safety• Appraisals / Audits / Reviews• Change• Procedure• Codes / Standards / Regulations• Design• Human Factors• Quality Assurance / Quality Control
Specific Factors
• Amelioration• Barriers & Controls• Operational Readiness• Maintenance• Inspection• Supervision• Task Performance• Personnel• Training• Environment• Equipment• Communications• Personnel Protective Equipment
Systems Approach to Accident InvestigationCausal Factor Analysis Selection Tree
RC Number
Causal Factor Categories
Root Causes Select 1 or more from RC 1-3
RC 1 Oversight
RC 2 Omission
RC 3 Assumed Risk
Systemic Causal Factors
Select 1 or more from RC 1A-3A
RC 1A Policy
RC 2A Policy Implementation
RC 3A Risk Assessment
Specific Causal Factors
Select 1 or more from DC 1-3
DC 1 BarriersPhysical Equipment
Safety Systems
DC 2 Controls - AdministrativeInformation/CommunicationOperational ReadyMaintenanceInspectionSupervision
DC 3 Task PerformancePerform Task CorrectlyMade Task Error
Contributing Causal Factors
Select 1 or more from CC 1-5
CC 1 PersonnelCriteriaFit For DutyTrainingExperienceMotivated
CC 2 ProceduresWrittenCurrentFollowedMatch work process
CC 3 HardwareDesignHuman FactorsHazard AnalysisQA/QC
CC 4 EnvironmentHot/ColdVibrationNoiseSpaceStress
Quality Points
• Looks at a complete system of causes
• Systemic and Specific
• Identifies the complete chain of causal factors
• Fixes not just the primary accident causes but all the LTAs in the system
Summary of The Processes
• Use of the Systems Approach Accident Model to drive the investigation
• Focuses on fixing all the LTAs in the system
• Which prevents future accidents
• Use of the systems analysis tools provides valid factual information to accident report
• Maintains high level of performance
Accident Report
• Title Page• Table of Contents• Executive Summary• Facts Section• Analysis Section• Finding Section• Recommendations• Signature• Appendix
Accident
Accident Model
Sequence of Events
EnergiesBarriers
Controls
Task Performance
Targets
Status of Work Process- Personnel
- Procedures
- Hardware- Environment
OR
Change
- Pre Accident
- Accident
- Post Accident- Prior
- Present
- Adequate- LTA
1) Management Policy drives which barrier and controls used
2) Barriers and controls must be maintained
3) Multiple barriers and controls must be used
5) Management must maintain work processes in an operational readiness state
6) Management must control changes
4) Management must maintain performance acceptable level
Causal Factors