1. Objectives Students will be able to:
Differentiate between Surface and Root Causes
Define Change Analysis, Barrier Analysis, MORT, Kepner-Tregoe Problem Solving and Decision Making.

2. Identifying Causes of Accidents
Surface vs. Root Causes
Surface causes are:
the hazardous conditions or unsafe work practices that directly or indirectly contributed to the accident.
Root causes are:
the safety or loss control system weaknesses that allow the existence of hazardous conditions and unsafe work practices.
Most accident investigations only identify the surface causes of accidents.

3. Major Concept tonight Investigation Methodical Analytical
Systematic process

4. Events and Causal Factor Analysis
Events and Causal Factor Analysis identifies the time sequence of a series of tasks and/or actions and the surrounding conditions leading to an occurrence.
The results are displayed in an Events and Causal Factor chart that gives a picture of the relationships of the events and causal factors.
Example charts

5. Participation opportunity
Name some “Surface Causes.”
Name some “Root Causes”

6. Change Analysis (DOE SSDC-4 1983)
Change Analysis is used when the problem is obscure.
It is a systematic process that is generally used for a single occurrence and focuses on elements that have changed.
Example: worker comes in early and starts work therefore didn’t get a safety briefing

7. Barrier Analysis (DOE SSD-4 1983)
systematic process that can be used to identify physical, administrative, and procedural barriers or controls that should have prevented the occurrence.
Barrier Defined: A construct between a hazard and a target, intended to prevent undesired effects to the target

8. Management Oversight and Risk Tree (MORT) Analysis
MORT and Mini-MORT are used to identify inadequacies in barriers/controls, specific barrier and support functions, and management functions.
It identifies specific factors relating to an occurrence and identifies the management factors that permitted these factors to exist.
(Vincoli, p.190)

9. Human Performance Evaluation
Human Performance Evaluation identifies those factors that influence task performance.
The focus of this analysis method is on operability, work environment, and management factors.
Man-machine interface studies to improve performance take precedence over disciplinary measures.

10. Kepner-Tregoe Problem Solving and Decision Making
management consulting firm
systematic framework for gathering, organizing, and evaluating information and applies to all phases of the occurrence investigation process.
Phases:
Situation appraisal: Identify concerns
Problem analysis: Define the problem (Similar to Change Analysis)
Decision Analysis: Evaluate alternatives, assess risks
Potential Problem Analysis: What new problems may be introduced by the alternatives?

12. Accident Investigation Process
The accident investigation process involves the following steps:
Report the accident occurrence to a designated person within the organization
Provide first aid and medical care to injured person(s) and prevent further injuries or damage
Investigate the accident
Identify the causes
Report the findings
Develop a plan for corrective action
Implement the plan
Evaluate the effectiveness of the corrective action
Make changes for continuous improvement

13. Participation Opportunity
How do you evaluate the effectiveness of any of your programs?

14. Retrospective Investigations
Retrospective investigations are accident investigations that look back in time at a situation. Most investigations conducted in the workplace can be classified as a retrospective investigation.

15. Statistical Investigations
Statistical investigations utilize data collected over a period of time to determine causes and develop prevention measures.
Statistical investigations utilize mathematical techniques that identify the causes for accidents in terms of statistical probabilities.

16. Give some examples from your organization of statistical investigations (post accident)

17. Large Loss Investigations
in-depth investigations directed at an accident that resulted in a larger than usual loss of life, money, or property damage.
Examples of large loss investigations include large industrial fires, plant explosions, and airplane crashes
Chemical Safety Board
CA&index=1&feature=plcp

18. Systems Investigations
Systems investigations utilize a systems approach to the identification of causal factors.
There are a variety of systems investigation techniques available including root cause analysis, Fault Tree Analysis (FTA), and Failure Modes and Effects analysis (FMEA).

19. Conclusions Differentiate between Surface and Root Causes
Define Change Analysis, Barrier Analysis, MORT, Kepner-Tregoe Problem Solving and Decision Making

20. Questions?

21. Sources
Investigation_Slides_for_EFCOG.pdf
Los Alamos Human Performance Investigations training (informative)
Additional reading
How to conduct FMEA