The Just Culture Community THE JUST CULTURE CERTIFICATION TRAINING Presented by Outcome Engineering David Marx Chief Executive Officer Fiona Lawton Manager, Consulting Services PRESENTED TO: Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Agenda Day 1 • • • • • • • The Downside of Life – Producing Undesired Outcomes Introduction to Five Skills Introduction to the Three Behaviors Introduction to the Just Culture Algorithm™ Life, Liberty and the Pursuit of Happiness Legal Case: Palsgraf v. The Long Island Railroad Imposers and their Tools Day 2 • • • • • • Our Shared Fallibility – Intention and Consequences Levels of Culpability – What the Law Can Teach Us Legal Case: U.S. v. Morrisette Reporting or Justice – Reconciling Competing Values Where to Draw the Disciplinary Line The Reasonable Person Standard Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 2 The Just Culture Community Agenda Day 3 • • • • • • The Duty to Save? Outcome-Based Duties Procedure-Based Duties Building a Socio-Technical System Using the Three Duties Using The Just Culture Algorithm™ The Duty to Avoid Causing Unjustifiable Risk or Harm Day 4 • • • • • The Duty to Follow Procedural Rules The Duty to Produce an Outcome Repetitive Errors and At-Risk Behaviors Other Just Culture Algorithms Examinations of Current Policies and Practices Day 5 • • • • Just Culture Algorithm Q&A Testing Proficiency In Use of the Just Culture Algorithm The Five Skills Revisited – Fitting the Pieces Together Matters of Implementation – Lessons Learned for Implementation Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 3 The Just Culture Community Day 1 – Setting the Stage The Downside of Life – Producing Undesired Outcomes Introduction to Five Skills Introduction to the Three Behaviors Introduction to the Just Culture Algorithm™ Life, Liberty and the Pursuit of Happiness Legal Case: Palsgraf v. Long Island Railroad Imposers and their Tools Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 4 The Just Culture Community The Downside of Life – Producing Undesired Outcomes Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Jacqueline Saburido http://www.youtube.com/watch?v=5OBBqe6Wo1c Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 6 The Just Culture Community The Proposition Framed by the right systems of learning, the right systems of justice, we can design systems and help humans make choices in those systems to produce better outcomes, at the individual, local, and societal level. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 7 The Just Culture Community 16 Design Laws Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Design Laws Rule 1 Pursuit of individual happiness drives the human condition; it is the mission. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 9 The Just Culture Community Design Laws Rule 2 We are endowed with a free will to pursue our individual happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 10 The Just Culture Community Design Laws Rule 3 We pursue our happiness as inescapably fallible creatures. We will do things, that in hindsight, we never intended to do. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 11 The Just Culture Community Design Laws Rule 4 We live in a world of limited resources. This drives the competitive nature of human beings. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 12 The Just Culture Community Design Laws Rule 5 While happiness is the mission, it is life, liberty, and property that are the three primary values – these are the things we strive to protect against outside intrusion. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 13 The Just Culture Community Design Laws Rule 6 One person’s pursuit of happiness will inevitably conflict with someone else’s pursuit of happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 14 The Just Culture Community Design Laws Rule 7 When faced with a dilemma between service to self and service to others, humans will often choose self over others. Altruism is a deliberate task requiring hard work. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 15 The Just Culture Community Design Laws Rule 8 When more than two humans exist, coalitions will inevitably form to work to the benefit of the subgroup. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 16 The Just Culture Community Design Laws Rule 9 Collective happiness is important to our individual happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 17 The Just Culture Community Design Laws Rule 10 Because we humans are imperfect and resources are limited, systems are necessarily imperfect. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 18 The Just Culture Community Design Laws Rule 11 All systems suffer from the design trades – maximizing performance toward one value will ultimately harm another value, or the mission itself. The closer we get to perfection toward any one value, the higher the costs to other values. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 19 The Just Culture Community Design Laws Rule 12 Societies can advance across all values only when human productivity gains provide more resources to the world of still limited resources. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 20 The Just Culture Community Design Laws Rule 13 Feedback (learning) systems are essential in our stewardship of limited resources, whether it be for our personal or collective happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 21 The Just Culture Community Design Laws Rule 14 Imposers are essential to our shared happiness. We create imposers to promote collective happiness by protecting the life and property of individuals. Most often, imposers use restraints on our liberty as the principal tool to exercise their control. The penalties for conformance involve restrictions on property, liberty, and sometimes life. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 22 The Just Culture Community Design Laws Rule 15 We humans are system components. We exist in systems with notions of duty guiding our paths. Duties come from the imposers, guided by deity- or morality-based notions of right and wrong. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 23 The Just Culture Community Design Laws Rule 16 Justice is the mechanism for responding to breaches of duty, for holding each other to account in our roles as societal components. Justice is the glue that holds social systems together. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 24 The Just Culture Community The Five Skills Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Five Skills The Mission 2 System Design 1 Values and Expectations Errors & Outcomes 3 Behavioral Choices 4 5 Learning Systems Copyright 2011, Outcome Engineering, LLC. All rights reserved. Justice & Accountability Page 26 The Just Culture Community Missions, Values, and Expectations Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Mission and Values Our Mission Our reason for acting Copyright 2011, Outcome Engineering, LLC. All rights reserved. Consider that you are the local school board and you are hiring a new high school football coach. How will articulate to that coach what his/her mission will be? Page 28 The Just Culture Community An Adverse Event Occurs It’s the next to the last game of a very successful season. In the first quarter your star quarterback goes down as the result of a hit to the head. The trainer suggests he’s out for the game. It’s the fourth quarter, your team is down by 6 points. The quarterback’s father is yelling at the coach to put him back in the game. The fans are chanting for their star. The coach puts him back in, where in the very next play he’s hit again, rendering him unconscious. He’s taken by ambulance to the hospital where fully recovers. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 29 The Just Culture Community An Adverse Event Occurs It’s the final game. The coach is still suffering from the aftermath of last week’s close call. He takes his captain out to the 50 yard line for the toss of the coin, where he announces to the other team that in the in interest of player safety that he’s only going to let his team play “touch” football. No hitting allowed. After 5 minutes of discussion with the referee and the other team’s coach, the referee calls the game. Your team forfeits for failure to play by the rules of the game. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 30 The Just Culture Community Mission and Values Our Mission Our Primary Values Our reason for acting Copyright 2011, Outcome Engineering, LLC. All rights reserved. What do you value that you want to protect? Values that are in play - that can be threatened by a overly zealous commitment to the mission Page 31 The Just Culture Community Mission and Values Our Mission Our Primary Values Our reason for acting Our Supporting Values Values that are in play - that can be threatened by a overly zealous commitment to the mission What do you value as a means to an end? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Values that are a means to an end – needed to support the mission and the primary values Page 32 The Just Culture Community For Each Value: Inputs and Outputs System Design Values and Expectations Behavioral Choices Copyright 2011, Outcome Engineering, LLC. All rights reserved. Errors & Outcomes Page 33 The Just Culture Community The Constraints System Design Values and Expectations Behavioral Choices • Competing Values • Limited Resources Copyright 2011, Outcome Engineering, LLC. All rights reserved. Errors & Outcomes • Fallible Human Beings • and, the Laws of Physics Page 34 The Just Culture Community Our Values • Overlapping Duties? Yes • Competing Duties? Customer Safety Capacity Efficiency Yes • We Must Prioritize and Balance in Support of Our Values Copyright 2011, Outcome Engineering, LLC. All rights reserved. Employee Privacy Safety Cost Control Page 35 The Just Culture Community So for each primary value, where do you want to be? Possible Top-Level Design Criteria – – – – No single failure can cause harm (1960’s aviation) 1 in a billion risk of harm (1980’s aviation) 1 in 10,000 years (nuclear power) No two failures can cause harm (NASA Mars mission) Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 36 The Just Culture Community Setting System Expectations Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 37 The Just Culture Community Setting System Expectations • What level of reliability do we want? – Relative to the mission – Relative to the most critical value Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 38 The Just Culture Community System Reliability Systems can be designed to be very reliable – Perfection is not possible – We do our best with inherently flawed components (humans and equipment) – Normal range of reliability – 1/1000 to one in a billion Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 39 The Just Culture Community A Range of Reliability Commercial aviation design standard – one in a billion 10-9 One in a Billion 10-6 One in a Million 10-3 One in a Thousand Current fatal aviation accident rate – 1 in 6 million Six Sigma – 3 defects per million Current wrong site surgery rates – 1 in 30,000 Current rate of hospital iatrogenic death – 1 in 500 Current rate of space shuttle accident – 1 in 60 Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 40 The Just Culture Community Managing System Reliability System Reliability 100% 100% System Failure Design for system reliability… • • Successful Operation Human factors design to reduce the rate of error 0% Barriers to prevent failure • Recovery to capture failures before they become critical • Redundancy to limit the effects of failure Copyright 2011, Outcome Engineering, LLC. All rights reserved. Poor Good Good Factors Affecting System Performance … knowing that systems will never be perfect Page 41 The Just Culture Community Aviation Expectations Where do we want to be – Perfection is not a viable option – Better results come from admitting to our shared fallibility, both at the individual and system level – Better results come from admitting the competing values and the limited resources Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 42 The Just Culture Community Managing Human Reliability Human Reliability 100% Human Error Design for human reliability… • • • • • • • • • • • Information Equipment/tools Design/configuration Job/task Qualifications/skills Perception of risk Individual factors Environment/facilities Organizational environment Supervision Communication Copyright 2011, Outcome Engineering, LLC. All rights reserved. Successful Operation 0% Poor Good Factors Affecting Human Performance … knowing humans will never be perfect Page 43 The Just Culture Community Designing Effective Systems • Controlling Contributing Factors – Changing the rate of human error and atrisk behavior • Adding Barriers – Trying to prevent individual errors Copyright 2011, Outcome Engineering, LLC. All rights reserved. • Adding Recovery – Trying to catch errors downstream • Adding Redundancy – Trying to add parallel elements Page 44 The Just Culture Community The Five Skills The Mission 2 System Design 1 Values and Expectations Errors & Outcomes 3 Behavioral Choices 4 5 Learning Systems Copyright 2011, Outcome Engineering, LLC. All rights reserved. Justice & Accountability Page 45 The Just Culture Community Human Fallibility Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Fallibility Main Entry: fal·li·bil·i·ty Pronunciation: \ˌfa-lə-ˈbi-lə-tē\ Function: noun Date: 1634 : liability to err Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 47 The Just Culture Community The Letter “E” is Defective How many E’s are in the paragraph below? FRED IS A FIREFIGHTER. FRED IS FEARFUL THAT HE MIGHT ERR IN HIS FIELD OF WORK, AND SUBSEQUENTLY FEEL THE HAMMER OF THE LAW FOR HIS FAILURE TO CONFORM TO HIS FIELD’S DUTY OF CARE. YOU EXPLAIN THAT THE PURPOSE OF NEGLIGENCE LAW IS TO ENSURE THAT AGGRIEVED PARTIES ARE MADE WHOLE BY MAKING THE PERSON WHO ERRS PAY FOR THE DAMAGES. IN FRED’S CASE, FRED WORKS FOR THE CITY, WHO MUST CARRY THE BURDEN FOR HIS ERROR. YOU FURTHER EXPLAIN TO FRED THAT IN THE CRIMINAL LAW, NEGLIGENCE HAS NOT GENERALLY BEEN CONSIDERED A CRIME BECAUSE NEGLIGENCE DID NOT HAVE THE REQUIRED MENS REA, OR “EVIL MIND.” TODAY, HOWEVER, WE HOLD INDIVIDUALS ACCOUNTABLE FOR THEIR ERRORS BECAUSE THE PUBLIC SHOULD EXPECT NOTHING LESS FROM HIGHLY TRAINED FIREFIGHTERS. AFTER ALL, EVERYONE SHOULD BE ABLE TO LIVE UP TO EXPECTATIONS, EVEN A GROUP OF HEALTHCARE’S FINEST SIMPLY COUNTING THE LETTER “E.” Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 48 The Just Culture Community How about something a little easier? 5+3+2÷2=? Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Behaviors We Can Expect Human Error • Inadvertent action; inadvertently doing other that what should have been done; slip, lapse, mistake. At-Risk Behavior • Behavioral choice that increases risk where risk is not recognized, or is mistakenly believed to be justified. Reckless Behavior • Behavioral choice to consciously disregard a substantial and unjustifiable risk Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 50 The Just Culture Community Three Scenarios Version #1 On a snowy winter night, John had to run to the store to buy milk. His car was parked in the driveway. John got into the car and turned his head to back out of the driveway. Although he carefully looked at the path behind the car, his vision was limited. He inadvertently hit his neighbor’s mailbox and destroyed it. Version #2 On a snowy winter night, John had to run to the store to buy a new formula for his colicky newborn. His wife had not slept in 24 hrs. so tension in the home was high. He got into the car and backed out of the driveway looking at his upset wife in the doorway, but not looking in his rear view mirror. In his haste, he hit his neighbor’s mailbox and destroyed it. Version #3 On a snowy winter night… John yelled “yee haa,” closed his eyes and hit the throttle. He never saw his neighbor’s mailbox. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 51 The Just Culture Community The Just Culture Algorithm • One method that works across all values • One method that works both pre- and post-event Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 52 The Just Culture Community Life, Liberty, and the Pursuit of Happiness – Rejection of the King Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Rejection of the King • The Declaration of Independence Copyright 2011, Outcome Engineering, LLC. All rights reserved. • The Constitution The Just Culture Community Helen Palsgraf v. The Long Island Railroad Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Imposers – Their Role in Society Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Need for Imposers Main Entry: im·pose Pronunciation: \im-ˈpōz\ Function: verb Inflected Form(s): im·posed; im·pos·ing Etymology: Middle French imposer, from Latin imponere, literally, to put upon (perfect indicative imposui), from in- + ponere to put — more at position Date: 1581 transitive verb 1 a : to establish or apply by authority <impose a tax> <impose new restrictions> <impose penalties> b : to establish or bring about as if by force Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 57 The Just Culture Community Government as Imposer Who are the Imposers? Copyright 2011, Outcome Engineering, LLC. All rights reserved. What are their tools? Page 58 The Just Culture Community Broad Areas of Gov’t Imposition • Criminal Law • Regulation • Tort • Contracts • Property Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 59 The Just Culture Community Workplace Controls Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Employers Who are the Imposers? Copyright 2011, Outcome Engineering, LLC. All rights reserved. What are their tools? Page 61 The Just Culture Community Fiduciary Controls Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Fiduciaries Who are the Imposers? Copyright 2011, Outcome Engineering, LLC. All rights reserved. What are their tools? Page 63 The Just Culture Community Clubs, Gangs, Homeowner’s Associations Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Clubs, Gangs, and Homeowners Asso. Who are the Imposers? Copyright 2011, Outcome Engineering, LLC. All rights reserved. What are their tools? Page 65 The Just Culture Community Oddball Imposers Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Oddball Imposers Who are the Imposers? Copyright 2011, Outcome Engineering, LLC. All rights reserved. What are their tools? Page 67 The Just Culture Community Today’s Imposers? What Do They Do With Human Fallibility? Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Governmental Imposers “…No person may operate an aircraft in a careless or reckless manner so as to endanger the life or property of another.” Federal Aviation Regulations § 91.13 Careless or Reckless Operation Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 69 The Just Culture Community Governmental Imposers “As far as I am concerned, when I say ‘careless’ I am not talking about any kind of ‘reckless’ operation of an aircraft, but simply the most basic form of simple human error or omission that the Board has used in these cases in its definition of ‘carelessness.’ In other words, a simple absence of the due care required under the circumstances, that is, a simple act of omission, or simply ‘ordinary negligence,’ a human mistake.” National Transportation Safety Board Administrative Law Judge Engen v. Chambers and Langford Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 70 The Just Culture Community Governmental Imposers The following conduct, acts, or conditions constitute unprofessional conduct… • The commission of any act involving moral turpitude, dishonesty, or corruption… • Misrepresentation or fraud… • The willful betrayal of a practitioner-patient privilege… • Abuse of a client or patient or sexual contact with a client or patient… • Incompetence, negligence, or malpractice which results in an injury to a patient or which creates an unreasonable risk that a patient may be harmed… RCW § 18.130.180 Unprofessional Conduct Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 71 The Just Culture Community Employers as Imposers Gross Misconduct Where an offense is so serious as to breach the basis of the employment contract, then this will be regarded as gross misconduct and will normally lead to summary dismissal, unless there are sound mitigating circumstances. • Indecency • Theft Also, Gross Carelessness / • Fraud Negligence – any action or failure • Assault to act which threatens the health or • Sexual Harassment safety of patient, members of public or other staff • Malicious Damage • Corruption • Being Unfit for Duty Norfolk and Norwich Community Hospital • Serious Breach of Confidentiality Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 72 The Just Culture Community Society as Imposers http://www.click2houston.com/video/25319441/ Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 73 The Just Culture Community All in the name of the game…. • You are the imposer • What say you? http://www.youtube.co m/watch?v=ITdPTKpG HuI Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 74 The Just Culture Community All in the name of the game…. • You are the imposer • What say you? http://www.youtube.co m/watch?v=UvEobeNf Gcc Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 75 The Just Culture Community Day 2 – Drawing the Line Our Shared Fallibility ─ Intention and Consequences Levels of Culpability ─ What the Law Can Teach Us Legal Case: U.S. v. Morrisette Reporting v. Justice – Reconciling Competing Values Where to Draw the Disciplinary Line The Reasonable Person Standard Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 76 The Just Culture Community Thinking About Human Intention Action Four Options Intention Do Not Intend Consequences Intend Action Consequence of Action Copyright 2011, Outcome Engineering, LLC. All rights reserved. Intend Consequences Do Not Intend Action Page 77 The Just Culture Community Thinking about Human Intention • Levels of Intention – – – – Purpose Knowledge Reckless Negligence – At-Risk Behavior – Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Action Intention Consequence of Action Page 78 The Just Culture Community The Model Penal Code 1. Purposefully Conscious objective to engage in conduct to cause such a result 2. Knowingly Practically certain that his conduct will cause such a result 3. Recklessly Conscious disregard of a substantial and unjustifiable risk will result from conduct Involves a gross deviation from the standard of conduct that a law-abiding person would observe in the actor’s situation 4. Negligently Should be aware of a substantial and unjustifiable risk that will result form conduct Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 79 The Just Culture Community US v. Morrisette Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 80 The Just Culture Community Justice Versus Safety Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 81 The Just Culture Community Justice Versus Safety: A Look at Two Programs • The Aviation Safety Reporting System – Why build the program? – What are the ground rules? Copyright 2011, Outcome Engineering, LLC. All rights reserved. • Aviation Safety Action Programs – Why build the program? – What are the ground rules? Page 82 The Just Culture Community The Reasonable Person Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 83 The Just Culture Community The Reasonable Man (circa 1837) • Court of Common Pleas – Vaughn builds a hay rick near the edge off Menlove’s property – Menlove, the neighbor, warns Vaughn that his design was dangerous – Vaughn says “he would chance it” Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Reasonable Man (circa 1837) • Court of Common Pleas – Haystack catches fire, burns down two of Menlove’s cottages – Vaughn held to “reasonable man” test – “caution such as a man of ordinary prudence would observe” Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Reasonable Man (circa 1933) • Hall v. Brooklands Auto-Racing Club – Did racetrack take reasonable caution in it design of the track? – What would the baldheaded man at the back of the Clapham omnibus do? Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Reasonable Man (circa 2008) • Wears all the right gear • Looks both ways before crossing the street • Never puts others at risk Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Day 3 – Duty The Duty to Save? Outcome-Based Duties Procedure-Based Duties Building a Socio-Technical System Using the Three Duties Using The Just Culture Algorithm™ The Duty to Avoid Causing Unjustifiable Risk or Harm Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 88 The Just Culture Community The Duty to Save? “Thirty Eight Who Saw Murder Didn’t Call Police” NY Times http://www.strimoo.com/video/17042338/ Kitty-Genovese-MySpaceVideos.html Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community What About A Duty to Self? “Thirty Eight Who Saw Murder Didn’t Call Police” NY Times Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Outcome-Based Duties System Design Values and Expectations Behavioral Choices Errors & Outcomes • Under what circumstances will we stand in judgment of the outcome? • Under what criteria will we consider disciplinary action? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 91 The Just Culture Community Procedure-Based Duties System Design Values and Expectations Behavioral Choices Errors & Outcomes • Under what circumstances will we stand in judgment of procedural compliance? • Under what criteria will we consider disciplinary action? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 92 The Just Culture Community Kitchie’s Ice Cream Parlor Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 93 The Just Culture Community Kitchie’s Ice Cream Parlor Target five areas of possible imposition: 1. Employee safety (exposure to bacteria, sharp edges) 2. Customer safety (tainted food, salmonella) 3. Employee work hour/salary requirements (working teenagers beyond reasonable hours, not paying overtime) 4. Customer satisfaction (varieties of flavors, taste) 5. Fashion patrol (offensive, suggestive, or tacky clothing) A. Identify the Imposers (e.g., employer, department of health) B. Which classes of duty (avoid unjustifiable risk or harm, procedural, outcome) you would have each imposer use. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 94 The Just Culture Community The Just Culture Algorithm™ Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Basis for the Tool Science Law – Systems Engineering – Human Factors – Behavioral Psychology – The Model Penal Code – Contract Law – The Common Law / Equity • The Goals – Maximize system performance (justice as a secondary value) – Justice (a primary value) Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 96 The Just Culture Community The Three Behaviors Human Error At-Risk Behavior Reckless Behavior Product of Our Current System Design and Behavioral Choices A Choice: Risk Believed Insignificant or Justified Conscious Disregard of Substantial and Unjustifiable Risk Manage through changes in: • • • • • • Choices Processes Procedures Training Design Environment Console Copyright 2011, Outcome Engineering, LLC. All rights reserved. Manage through: • Removing incentives for • • at-risk behaviors Creating incentives for healthy behaviors Increasing situational awareness Coach Manage through: • Remedial action • Punitive action Punish Page 97 The Just Culture Community The Just Culture Algorithms • One method that works across all values • One method that works both preand post-event Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 98 The Just Culture Community The Five Skills The Mission 2 System Design 1 Values and Expectations Better Outcomes 3 Human Behavior 4 5 Learning Systems Copyright 2011, Outcome Engineering, LLC. All rights reserved. Justice & Accountability The Just Culture Community Examples of Learning Systems • • • • • • • • • Internal and External-Based Audits / Inspections Voluntary Reporting Programs Digital / Video Surveillance Safety (Value) Management Systems Risk-Based Assessments Failure Mode Effects Analysis (FMEA) Hotlines / Whistle-Blower Complaints Customer Feedback / Employee Surveys Event Investigations Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Role of Event Investigation Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 101 The Just Culture Community It’s About a Proactive Learning Culture Management decisions are based upon where our limited resources can be applied to minimize the risk of harm, knowing our system is comprised of sometimes faulty equipment, imperfect processes, and fallible human beings. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 102 The Just Culture Community The Basics of Event Investigation What happened? What normally happens? What does procedure require? Why did it happen? How were we managing it? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Increasing value The Just Culture Community Five Rules of Causation 1. Causal statements should clearly show the “cause and effect” relationship 2. Negative descriptors should not be used in causal statements (i.e., poorly, inadequately, etc…) 3. Each human error should have a preceding cause 4. Each “at risk” behavior/procedural deviation should have a preceding cause 5. Failure to act is only causal when there was a preexisting duty to act Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community 3. Each human error has preceding cause Rule 3 – each human error must have a preceding cause 4. Each ARB/deviation has a preceding cause Rule 3–4 each Rule – each human error must violation must have a have a preceding preceding cause cause Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Fifth Rule of Causation Failure to act is only causal when there was a pre-existing duty. Many investigations mix causes and prevention strategies into one narrative – leaving the reader to guess at the cause and effect relationships. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 106 The Just Culture Community Understanding Causation Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 107 The Just Culture Community Causal Language • Root Cause/s – The initiating cause of a causal chain • Direct Cause – The cause is virtually certain to result in the effect • Probabilistic Cause – The cause increases the likelihood of the effect • Correlation – An observed co-incidence of two or more conditions. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 108 The Just Culture Community The Diagram Decode The Undesired Outcome A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Human Error Behavioral Choice A Cause of the Behavioral Choice Page 109 The Just Culture Community The Process • Start with outcome(s) on right side of page • Work right to left identifying causal links • One-to-one, one-to-many, and many-to-one are all allowable Do not put non-causal data on the cause and effect chart Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Basic Structure Condition Condition A B The causal link Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community “Cause and Effect” (IV pump not started) Patient distracted the nurse with a personal request while the nurse was hanging an IV Piggyback The Undesired Outcome IV pump not set for the piggyback Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Patient did not receive ordered medication Behavioral Choice A Cause of the Behavioral Choice Page 112 The Just Culture Community Housekeeping Scenario A housekeeping worker was waxing the floors around 10:00 p.m. He could not find a ‘wet floor’ sign and would have had to go to another building to search for one. Believing he was alone in the building, he did not search for a warning sign. An accountant, working late slipped on the wet floor and severely damaged his knee. The housekeeping staff frequently had to search for the ‘wet floor’ warning signs, which caused them to get behind on their work. The manager was aware of the unavailability of signs, but did not take any action to purchase more. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 113 The Just Culture Community Housekeeping Scenario Signs Far Away Manager Did Not Buy More Signs Housekeeper Thought He Was Alone “Wet” Sign Not Placed Accountant Slips On Floor Severe Damage To Knee Wet Floor Why? The Undesired Outcome Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Behavioral Choice A Cause of the Behavioral Choice Page 114 The Just Culture Community Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 115 The Just Culture Community Knowing You Have the Right Cause: The Checklist Do you know what happened? Do you know what normally happens? Do the causal statement(s) explain the difference? Are the errors and behaviors explained? Do the causal statement(s) make sense? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 116 The Just Culture Community Finishing the Review: Are the Right Actions Being Taken to Address the Risks Identified? Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The One Stop Rule: Leave Systemic Causes to Multiple Event Analysis Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Keys to Understanding the Algorithm • • • • • • • • • • Duty to Produce an Outcome vs. Duty to Follow a Procedural Rule Purpose and Knowledge Risk vs. Rule-based The Severity Bias Who determines “substantial and unjustifiable”? “Conscious disregard” and the Objective Standard Organizational accountability in drawing the “bright line” Remediation and levels of punishment Repetitive behaviors Regulator’s use of the Algorithm Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 119 The Just Culture Community Resume Scenario A new operations manager is found to have lied on his resume. He did not have the college degree that he showed on his resume. An investigation of why this oversight has occurred found that a human resources clerk did not do the required background check. The human resources manager had never had a candidate lie about a college degree in their 8 years of managing, and simply told his overworked clerk to skip the check. Corporate policies require that the check be completed. Both the clerk and the manager were aware of the policy. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 120 The Just Culture Community Resume Scenario Staff member lied about having a college degree Why? HR manager told HR clerk to skip check The Undesired Outcome HR clerk did not confirm with school Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Financial and reputation harm to company Behavioral Choice A Cause of the Behavioral Choice Page 121 The Just Culture Community Near Miss: Wrong Procedure 75 year old female patient was admitted to an outpatient surgery center for insertion of a pacemaker. Patient was in the pre-operative area when surgical RN A came into the pre-op area, grabbed a chart off the counter, and called out a patient name, at which point, the patient nodded her head. Upon arrival to the OR, the anesthesiologist was busy, and immediately placed the patient on ECG monitor, and induced anesthesia. The surgeon entered the OR after the patient was sedated, and asked if a timeout had been completed. RN A indicated that a “mini” time out was done and gave the surgeon the chart with the consent form. The surgeon begins to prep the chest area when a cardiologist enters the OR and asks if this is her patient who was there for a pacemaker. The surgeon indicates the patient was there for a Port –A- Cath insertion. At this point, the surgeon checks the armband, and notes that it does not match the chart. Anesthesia is reversed and the patient is moved to another room for the pacemaker insertion. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 122 The Just Culture Community Probabilistic Cause What is the organizational culture? Did the surgeon understand his role in the time out? Group Norm vs. Individual Norm??? What usually happens? Direct Cause(s) The surgeon was running late and the anesthesiologist had already sedated the patient No procedural time out done by surgical team Near miss wrong procedure. Patient receives sedation The RN assumed the patient nodding her head indicated she was the right patient The Undesired Outcome Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. RN did not do two patient identifiers in the pre-op area Behavioral Choice A Cause of the Behavioral Choice 123 Page 123 The Just Culture Community Day 4 – Gaining Proficiency Gaining Proficiency in the Algorithm™ Coaching & Mentoring The Big Healthcare Event Other Just Culture Algorithms Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 124 The Just Culture Community Managing Behaviors Behaviors We Can Expect • Human Error: an inadvertent action; inadvertently doing other that what should have been done; slip, lapse, mistake. • At-Risk Behavior: a behavioral choice that increases risk where risk is not recognized, or is mistakenly believed to be justified. • Reckless Behavior: a behavioral choice to consciously disregard a substantial and unjustifiable risk. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Copyright 2007, Outcome Engineering, LLC. All rights reserved. Page 125 The Just Culture Community Managing Human Error • Two Questions: – Did the employee make the correct behavioral choices in their task? – Is the employee effectively managing their own performance shaping factors? • If yes, the only answer is to console the employee – that the error happened to them • And then examine the system for improvement opportunities Copyright 2011, Outcome Engineering, LLC. All rights reserved. Copyright 2007, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Managing At-Risk Behavior • At-Risk Behavior – A behavioral choice that increases risk without perceiving the risk (i.e., unintentional risk taking), or is mistakenly believed to be justified – Driven by perception of consequences • Immediate and certain consequences are strong • Delayed and uncertain consequences are weak • Rules are generally weak Copyright 2011, Outcome Engineering, LLC. All rights reserved. Copyright 2007, Outcome Engineering, LLC. All rights reserved. Page 127 The Just Culture Community Managing At-Risk Behaviors • A behavioral choice • Managed by adding forcing functions (barriers to prevent non-compliance) • Managed by changing perceptions of risk (Coaching) • Managed by changing consequences AND • Examine the system for improvement opportunities Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 128 The Just Culture Community Managing Reckless Behavior • Reckless Behavior – Conscious Disregard of Substantial and Unjustifiable Risk • Manage through: – Disciplinary action – Punishment as a deterrent Note: Remediation is always available Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 129 The Just Culture Community Coaching & Mentoring in a Just Culture Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community What Is the Difference Between… • Role-Modeling? • Mentoring? • Consoling? • Coaching? • Counseling? • Punishing? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 131 The Just Culture Community Role Modeling: “Walking the Talk” • In a Just Culture, role modeling can be the first step in building the five skills: – – – – – Mission, Values, and Expectations Creating a Learning Culture Creating an Open and Fair Culture Designing Safe Systems Managing Behavioral Choices Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Mentoring Mentoring can include one or more of the following: • Sharing stories of personal experiences, including mistakes and risky choices that you may have made or observed • Providing information or lessons learned from past events and reports in a specific work area • Sharing information and lessons learned from relevant events outside of the organization (e.g., industry events at other organizations) • Brainstorming with employees, identifying strategies for mitigating and managing risk in the organization • Acknowledging, recognizing, and thanking individuals for their safe choices and for self-reporting errors and at-risk behaviors Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Supporting (Consoling) (The Response to Human Error) • A Learning Conversation – Discussing why the event happened and what can be done to prevent it from happening again • Alleviating the Grief, Sense of Loss, or Trouble by Comforting the Employee • Remember, the Manager Also Investigates the System and Makes Changes as Appropriate Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Coaching (The Response to At-Risk Behavior) To understand how to effectively coach, let’s look at the following four basic steps representing human behavior whenever risk is present: – – – – Perception Interpretation Decision-Making Action Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The PIDA Model Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Coaching (The Response to At-Risk Behavior) • We Are Creating a Learning Opportunity by: – Understanding the situation from their point of view – Describing the at-risk behavior – Explaining how the at-risk behavior does not align with our shared values – Establishing a plan, if necessary, with follow-up actions – What you don’t correct, you condone! Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Peer-to-Peer Coaching Source: BC Hydro Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Peer-to-Peer Coaching • A Strong Marker of Culture is an Openness to Peer-to-Peer Coaching – The willingness to approach a peer in a productive manner – The receptiveness of the peer being coached • Managers Should Model Effective Coaching Behaviors and Be a Resource to Employees Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Counseling (Repetitive Human Error or At-Risk Behavior) A first step disciplinary action: putting the employee on notice that performance is unacceptable Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Discipline Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Punishing (The Response to Reckless Behavior) • Behavioral choice to consciously disregard a substantial and unjustifiable risk • Manage through – Remedial action – Punitive action Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Three Duties The Duty to Avoid Causing Unjustifiable Risk or Harm The Duty to Produce an Outcome Copyright 2011, Outcome Engineering, LLC. All rights reserved. OR The Duty to follow a Procedural Rule Page 143 The Just Culture Community The Duty to Produce an Outcome Meet me at 7:00 pm at 410 Chestnut Street The Duty to Produce an Outcome Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 144 The Just Culture Community The Duty to Produce an Outcome for the System Acceptable Rate of Undesired Outcome Unacceptable Rate of Undesired Outcome Product of Employee’s System and Behaviors Product of Employee’s System and Behaviors Continue to allow employee to manage rate Intervene in employee's system, - or Consider: • Remedial action • Disciplinary action Accept Copyright 2011, Outcome Engineering, LLC. All rights reserved. Discipline Page 145 The Just Culture Community Categories of Possible Physician Breach A. Insufficient prevention, diagnosis or treatment of patient disease or condition B. Iatrogenic harm – caused by the physician incidental to the practice of medicine C. Inappropriate conduct not directly related to the delivery of care Copyright 2011, Outcome Engineering, LLC. All rights reserved. Clinical Review Administrative Review Page 146 The Just Culture Community Duty to Produce an Outcome* This path applies when a physician is largely in control of the system by which the outcome is produced. Examples from each category of possible physician breach include: A. High patient return rate to the emergency department B. High prescription error rate C. Violations in meeting OR start time or call coverage rules * This path can be applied when the failure rate is assessed based on statistically valid, risk adjusted data and the adverse event rate is deemed unacceptable. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 147 The Just Culture Community Two Specific Classes of Duty Meet me at 7:00 pm at 410 Chestnut Street The Duty to Produce an Outcome Copyright 2011, Outcome Engineering, LLC. All rights reserved. Leave your house at 6:45pm. Only drive 35 MPH. Go south on Independence Ave, turn right on Parker. At the third light, hang a left, go three blocks, turn right and go to the fourth house on the right. The Duty to Follow a Procedural Rule Page 148 The Just Culture Community The Duty to Follow a Procedural Rule “The fastest way to get yourself killed on a manned space flight is to not follow standard operating procedure.” “The second quickest way to get yourself killed is to always follow standard operating procedure.” Karol Joseph "Bo" Bobko Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 149 The Just Culture Community The Duty to Follow a Procedural Rule Human Error At-Risk Behavior Reckless Behavior Product of Our Current System Design and Behavioral Choices A Choice: Risk Believed Insignificant or Justified Conscious Disregard of Substantial and Unjustifiable Risk Manage through changes in: • • • • • • Choices Processes Procedures Training Design Environment Console Copyright 2011, Outcome Engineering, LLC. All rights reserved. Manage through: • Removing incentives for • • at-risk behaviors Creating incentives for healthy behaviors Increasing situational awareness Coach Manage through: • Remedial action • Punitive action Punish Page 150 The Just Culture Community Duty to Follow a Procedural Rule This path applies when the physician works within a system and is responsible for following a procedural (i.e., “how to”) rule created by the system. Examples from each category of possible physician breach include: A. Failure to use medical staff approved order sets for community acquired pneumonia B. Not participating in a required pre-procedural time-out C. Not completing date and time documentation according to policy Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 151 The Just Culture Community The Duty to Avoid Causing Unjustifiable Risk or Harm Human Error At-Risk Behavior Reckless Behavior Product of Our Current System Design and Behavioral Choices A Choice: Risk Believed Insignificant or Justified Conscious Disregard of Substantial and Unjustifiable Risk Manage through changes in: • • • • • • Choices Processes Procedures Training Design Environment Console Copyright 2011, Outcome Engineering, LLC. All rights reserved. Manage through: • Removing incentives for • • at-risk behaviors Creating incentives for healthy behaviors Increasing situational awareness Coach Manage through: • Remedial action • Punitive action Punish Page 152 The Just Culture Community Duty to Avoid Causing Unjustifiable Risk or Harm* This path applies for any situation that actually or potentially leads to harm of persons or property. Examples from each category of possible physician breach include: A. Not ordering an indicated diagnostic test B. Writing a contraindicated prescription C. Disruptive operating room behavior * This path can be applied in conjunction with suspected breaches in either the Duty to Follow Procedural Rule or the Duty to Produce an Outcome Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 153 The Just Culture Community The Just Culture Algorithm Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Three Duties The Duty to Avoid Causing Unjustifiable Risk or Harm • • • • Society sets the expectation for the behavior Organization assesses risk was being managed Employee is assessed for their behavior and quality of their choices Objective standard (reasonable person standard) is applied If there is no acceptable rate The Duty to Produce an Outcome • • • • OR Imposer sets the expectation for the result Employee owns the system, i.e. “How you do that is up to you…we just judge if you did it or not” Don’t assess HE, ARB or RB Rate based expectation Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Duty to follow a Procedural Rule • • • Imposer sets the expectation for compliance with the rule Employer owns the system, i.e. “Do it our way, as defined, every time for reliable results” Be a reliable component in our system Page 155 The Just Culture Community Working in the Algorithm Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 156 The Just Culture Community Scheduling Scenario A near-term pregnant patient is told by her doctor that she needs to return to the clinic within one week for her next prenatal check up. The scheduler was new to the job and made a mistake with the scheduling system. Flipping to the wrong week, the scheduler inadvertently booked the patient for an appointment in two weeks. Before her scheduled appointment, the mother goes into labor and the baby is stillborn. The physician angrily tells the clinic manager that the baby might have lived if the mother’s appointment had been scheduled correctly. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 157 The Just Culture Community Scheduling Scenario Why? The Undesired Outcome Scheduler flipped to wrong page in appointment book, scheduled appointment too late Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Patient Harm Behavioral Choice A Cause of the Behavioral Choice Page 158 The Just Culture Community Basketball Scenario An off-duty railroad maintenance technician and a supervisor are waiting at a platform for a train to go to the San Antonio Spurs basketball game. They are playing catch with a basketball. The basketball falls in to the track area. The two discuss retrieving the ball, and decide that the technician, Sherman, will jump into the track area to get the ball. While standing in the tracks, Sherman noticed open wires protruding from an electrical box under the platform. To Sherman, it appeared that the electrical box had been hit by something, exposing the wiring. Sherman, as a technician, knew that the wires would pose a safety concern. However, Sherman knew also that there was no reason for him to know of the damaged electrical box unless he was on the tracks. Sherman does not report the problem with the electrical box. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 159 The Just Culture Community NICU Scenario A nurse is going to administer a medication to a baby in the neonatal ICU. The ICU has an automated dispensing system. The automated dispensing system opens a drawer with four bins. As he has always done, he reached into the second bin where the vial of medication is, confirms the blue cap on the vial, grabs the medication and takes it to deliver the medication. At no time in the process did the nurse actually confirm the medication label, instead relied on location in the dispensing system and color of cap to confirm medication. In this case, pharmacy had put the wrong concentration in the dispensing system. The nurse caught the error by glancing at the vial when drawing up the medication. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 160 The Just Culture Community NICU Scenario Relied On Color Of Cap, Did Not See Risk Nurse Does Not Confirm Drug Increased Risk Of Patient Harm Why? The Undesired Outcome Pharmacy MisStocks Dispensing System Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Behavioral Choice A Cause of the Behavioral Choice Page 161 The Just Culture Community Fire Safety: Near Miss One of the considerations to prevent surgical fires is strict control of the electrical surgical (ES) pencil. The policy at one surgical facility is to house the ES pencil in its holster and to anchor the holster onto the Mayo stand. An abdominoplasty was being performed and two ES pencils were placed onto the surgical field and anchored to the Mayo stand. During the case, one of the holsters kept coming dislodged and the two ES lines kept getting tangled; the surgeons were frustrated. At the surgeon’s request and in order to keep peace, the scrub nurse anchored the second ES pencil and holster to the sterile drape with a towel clip near the head of the sterile field. Frequently during the case, the ES pencil at the head would slip out of the holster and rest on the drape. No matter how she tried, the scrub nurse could not contain the ES pencil. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 162 The Just Culture Community Fire Safety: Near Miss Holster repeatedly dislodged; ES lines were tangled Scrub Nurse anchored ES pencil/holster to sterile drape Surgeon requested ES pencil/holster be re-positioned Increased Risk of Surgical Fire OR staff did not object to physician’s request Why? The Undesired Outcome Human Error A Cause of the Human Error Copyright 2011, Outcome Engineering, LLC. All rights reserved. Behavioral Choice A Cause of the Behavioral Choice Page 163 The Just Culture Community Patient Falls When passing a patient room, a nurse manager sees that a patient is about to fall out of the bed. The nurse manager rushes to the patient and catches the patient before they fell to the ground. The nurse manager did not wash or sanitize her hands before touching the patient. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 164 The Just Culture Community Day 5 – The Journey Begins The Big Healthcare Event Banner Policy Review HR & HIPAA Alternative Algorithms 16 Design Laws Refresh the Five Skills Implementation Best Practices The Role of the Just Culture Champion Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 165 The Just Culture Community The Big Healthcare Event Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 166 The Just Culture Community Nurse F did not know of the requirement to have two nurses hang blood Nurse C told her to go and hang the blood on her own as she responded to a code ? Chg Nurse instructed other nurses not to replace it ? Other nurses chose to breach the rule ? Other nurses did not report the breach Nurse F assumed Nurse C had checked the blood Copyright 2011, Outcome Engineering, LLC. All rights reserved. Nurse F asked only patient name and not DOB Mr Delta did not have wristband on as he had been agitated by it Nurse C assumed it was the overdue blood for her patient Nurse F did not have second nurse present when hanging blood Nurse C did not check blood when picking it up at nurse’s station Nurse F did not check blood when she went to hang the blood Patient given other patient’s blood Nurse C selects wrong bag at nurse’s station Page 167 The Just Culture Community Banner Policy Review Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 168 The Just Culture Community HR Model Policy Language “Employees are required to follow company policies, to make behavioral choices that are supportive of organizational values, and required to avoid causing unjustified risk or harm to self or others. Nevertheless, we fully expect that every employee will face circumstances where a breach of one of these duties occurs, whether justified or not. Where working under a Duty to Produce an Outcome, an employee will be held accountable as directed by the code of conduct and individual policies. These policies put the employee on notice to the duty, and prescribe acceptable outcomes attached to each duty (e.g., time and attendance, dress code, harassment). When working under a Duty to Follow a Procedural Rule within a system, an employee will be subject to disciplinary action when he or she has recklessly disregarded the risks associated with breaking the rule. At all times, an employee will be subject to the Duty to Avoid Causing Harm to himself, to fellow employees, patients, visitors, and to the organization. Under this duty, employees will be open to disciplinary action when their actions involve a conscious disregard of a substantial and unjustifiable risk of harm. In addition to these actions stemming from single events, an employee who has committed a series of human errors or at-risk behaviors whose cause does not originate within the work system, will be subject to disciplinary action when non-punitive remedial action (e.g., education, coaching) is not effective in changing behavior. Decision-making in accordance with these provisions will use an objective standard, except where the employee may show subjectively that they had a good faith basis for believing that a particular breach was justified. Actions taken will be guided by the Just Culture Algorithm, version 3.1, which is supportive of these provisions.” Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 169 The Just Culture Community What to look for? Does the language align with Just Culture? Is the Purpose clear? Does it distinguish between Consoling, Coaching and Discipline? Can I breach any of the requirements or expectations through HE alone? Is there allowance for the justifiable breach? Does it allow for managing ARB? Does it allow for managing RB? How does it manage repetitive behaviors – HE or ARB or RB? Is there anything missing? Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 170 The Just Culture Community Model HR Polices Changing Current Policies • .Focus HR policies on the behavioral choices of managers and staff, with less emphasis on errors and their undesired outcomes. The objective is to evolve to an HR system that is proactive toward risk and behavioral choices, rather than reactive toward errors and outcomes. • .Ensure that policies and actions (system redesign, consoling an employee, coaching, or disciplinary action) are all related to the risk associated with a behavior, not the actual outcome. • .Remove any policy references to negligent or careless conduct as a basis for disciplinary action to reduce confusion. The term “negligent” has a legal meaning that is out of place in a Just Culture. • .Remove any policy references to criminal conduct as a basis for disciplinary action. The term “criminal conduct” refers only to a societal view that punishment should follow a particular type of conduct. Unfortunately, in many legislative schemes, mere human error is criminal conduct (e.g., criminal negligence). • .Ensure that managers fully understand the three duties and three behaviors. Ensure that managers have the skills to console, coach, discipline, and initiate system redesign where indicated. • .Ensure that the substance of Just Culture concepts, as shown in the model policy language, are supported by general disciplinary policies as well as section or domain specific policies. • .Ensure that event reporting and investigation system design and policies support these provisions. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 171 The Just Culture Community Alternative Models of Accountability Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Jim Reason’s Unsafe Acts Algorithm Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 174 The Just Culture Community The NHS Incident Decision Tree Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The NHS Decision Tree • A limited purpose tool – Designed only for patient safety events – A tool to help change culture – Does not change facility HR practices “The organisation should move to a fair and just culture with appropriate accountability. The focus should be on system failure rather than individual blame. This means that no disciplinary action will result from the reporting of adverse incidents, mistakes or near misses, except where there have been criminal or malicious activities, professional malpractice, acts of gross misconduct, or where repeated errors or violations have not been reported.” NHS Bolton, Patient Safety Strategy, March 2009 Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 176 The Just Culture Community Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community 16 Design Laws Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community Design Laws Rule 1 Pursuit of individual happiness drives the human condition; it is the mission. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 179 The Just Culture Community Design Laws Rule 2 We are endowed with a free will to pursue our individual happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 180 The Just Culture Community Design Laws Rule 3 We pursue our happiness as inescapably fallible creatures. We will do things, that in hindsight, we never intended to do. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 181 The Just Culture Community Design Laws Rule 4 We live in a world of limited resources. This drives the competitive nature of human beings. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 182 The Just Culture Community Design Laws Rule 5 While happiness is the mission, it is life, liberty, and property that are the three primary values – these are the things we strive to protect against outside intrusion. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 183 The Just Culture Community Design Laws Rule 6 One person’s pursuit of happiness will inevitably conflict with someone else’s pursuit of happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 184 The Just Culture Community Design Laws Rule 7 When faced with a dilemma between service to self and service to others, humans will often choose self over others. Altruism is a deliberate task requiring hard work. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 185 The Just Culture Community Design Laws Rule 8 When more than two humans exist, coalitions will inevitably form to work to the benefit of the subgroup. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 186 The Just Culture Community Design Laws Rule 9 Collective happiness is important to our individual happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 187 The Just Culture Community Design Laws Rule 10 Because we humans are imperfect and resources are limited, systems are necessarily imperfect. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 188 The Just Culture Community Design Laws Rule 11 All systems suffer from the design trades – maximizing performance toward one value will ultimately harm another value, or the mission itself. The closer we get to perfection toward any one value, the higher the costs to other values. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 189 The Just Culture Community Design Laws Rule 12 Societies can advance across all values only when human productivity gains provide more resources to the world of still limited resources. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 190 The Just Culture Community Design Laws Rule 13 Feedback (learning) systems are essential in our stewardship of limited resources, whether it be for our personal or collective happiness. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 191 The Just Culture Community Design Laws Rule 14 Imposers are essential to our shared happiness. We create imposers to promote collective happiness by protecting the life and property of individuals. Most often, imposers use restraints on our liberty as the principal tool to exercise their control. The penalties for conformance involve restrictions on property, liberty, and sometimes life. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 192 The Just Culture Community Design Laws Rule 15 We humans are system components. We exist in systems with notions of duty guiding our paths. Duties come from the imposers, guided by deity- or morality-based notions of right and wrong. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 193 The Just Culture Community Design Laws Rule 16 Justice is the mechanism for responding to breaches of duty, for holding each other to account in our roles as societal components. Justice is the glue that holds social systems together. Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 194 The Just Culture Community The Five Skills Copyright 2011, Outcome Engineering, LLC. All rights reserved. The Just Culture Community The Five Skills The Mission 2 System Design 1 Values and Expectations Errors & Outcomes 3 Behavioral Choices 4 5 Learning Systems Copyright 2011, Outcome Engineering, LLC. All rights reserved. Justice & Accountability Page 196 The Just Culture Community Thank You! Please visit us at: Outcome Engineering, LLC Curators of the Just Culture Community www.outcome-eng.com www.justculture.org 214.778.2010 Copyright 2011, Outcome Engineering, LLC. All rights reserved. Page 197