Posted: March 23rd, 2025

Root-Cause Analysis and Safety Improvement Plan for Enhancing Patient Safety in Healthcare Settings/h7vc

Root-Cause Analysis and Safety Improvement Plan

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Root-Cause Analysis and Safety Improvement Plan for Enhancing Patient Safety in Healthcare Settings

References:

Institute for Healthcare Improvement. (2017). Root Cause and Systems Analysis. Retrieved from http://www.ihi.org

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Agency for Healthcare Research and Quality. (2018). Patient Safety Network: Root Cause Analysis. Retrieved from https://psnet.ahrq.gov

Root-Cause Analysis and Safety Improvement Plan

Completed by: (Student Name)
Organization: School of Nursing and Health Sciences, Capella University
Department: NURS4035: Improving Quality of Care and Patient Safety
Reported to: (Instructor Name)
Date Completed by: (Date)

This template is provided as an aid in organizing the steps in a root-cause analysis. Not all possibilities and questions will apply in every case, and there may be others that will emerge in the course of the analysis. However, all possibilities and questions should be fully considered in your quest for “root cause” and risk reduction.

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A sentinel event is a patient safety event that occurs unexpectedly and is not primarily related to the natural course of the patient’s illness or underlying condition. These events are debilitating not only for patients but also for the health care providers involved. The goal is to learn from these incidents, improve systems, and prevent further harm to patients.

Remember, a thorough root-cause analysis aims to uncover both immediate causes and underlying systemic issues to prevent similar events in the future.

Understanding What Happened

What happened?: Begin by understanding the sequence of events leading up to the sentinel event. Gather detailed information about the incident, including the timeline, people involved, and context.

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Who did the problem/event affect, and how?

Additional Sentence: It is essential to involve all stakeholders, including patients, families, and staff, in the information-gathering process to ensure a comprehensive understanding of the event.

Why did it happen?:

Human Factors: Investigate whether communication breakdowns, staff fatigue, or lack of training contributed.

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System Factors: Examine workflow processes, equipment failures, and environmental factors.

Organizational Culture: Assess if there are cultural issues, lack of safety culture, or inadequate leadership support.

Society/Culture: What role might cultural assumptions or backgrounds play?

Additional Sentence: Understanding the interplay between human and system factors is critical to identifying the root cause and developing effective interventions.

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Was there a deviation from protocols or standards?:

Procedures and Policies: Determine if established protocols were followed or if there were deviations.

Were there any steps that were not taken or did not happen as intended?

Documentation: Review medical records, nursing notes, and other relevant documentation.

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Additional Sentence: Deviations from protocols often highlight gaps in training or systemic issues that need to be addressed.

Who was involved?:

Staff: Identify the roles of individuals directly involved in the event.

Supervisors and Managers: Investigate their roles and responsibilities in the context of the event.

Additional Sentence: Involving all levels of staff in the analysis ensures a holistic view of the incident and promotes accountability.

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Was there a breakdown in communication?:

Interdisciplinary Communication: Assess how well different teams communicated.

Patient-Provider Communication: Explore whether patients were informed and understood their care.

Additional Sentence: Effective communication strategies, such as standardized handoff protocols, can significantly reduce the risk of errors.

What were the contributing factors?:

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Physical Environment: Consider facility layout, equipment availability, and workspaces.

Staffing Levels: Evaluate if staffing was adequate.

Training and Competency: Assess staff’s knowledge and skills.

Additional Sentence: Addressing contributing factors requires a multifaceted approach that includes environmental modifications, staffing adjustments, and ongoing education.

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Did organizational policies or procedures play a role?:

Policy Compliance: Investigate if policies were followed.

Policy Clarity: Assess if policies are clear and accessible.

Additional Sentence: Regular policy reviews and staff training on updates can enhance compliance and reduce errors.

Was there a failure in monitoring or surveillance?:

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Vital Signs Monitoring: Check if there were any missed signs.

Alarm Fatigue: Explore if alarms were ignored.

Additional Sentence: Implementing smart monitoring systems and reducing unnecessary alarms can improve response times and patient outcomes.

What can be learned to prevent recurrence?:

Lessons Learned: Identify systemic changes, training needs, and improvement opportunities.

Quality Improvement: Consider implementing preventive measures.

Additional Sentence: Sharing lessons learned across the organization fosters a culture of continuous improvement and accountability.

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How can patient safety be enhanced?:

Risk Mitigation: Develop strategies to minimize risks.

Education and Training: Ensure staff are well-trained.

Reporting and Feedback: Encourage open reporting and learning from mistakes.

Additional Sentence: A proactive approach to patient safety, including regular risk assessments and staff engagement, is essential for sustainable improvement.

Root Cause(s) to the Issue or Sentinel Event?
Upon completion of the analysis above, please explicitly state one or more root causes that led to the issue or sentinel event. Please refer to the factors discussed above and categorize each root cause by choosing all that apply.

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Root Cause – the most basic reason that the situation occurred Contributing Factors - additional reason(s) that clearly made a situation turn out less than ideal HFC HF T HF F/S E R B
1
2
3
HF-C = Human Factor-communication | HF-T = Human Factor-training | HF-F/S = Human Factor-fatigue/scheduling
E = environment/equipment | R = rules/policies/procedures | B = barriers

Application of Evidence-Based Strategies
Identify evidence-based best practice strategies to address the safety issue or sentinel event.
(Describe what the literature states about the factors that lead to the safety issue.)
(For example, interruptions during medication administration increase the risk of medication errors by specifically stated data.)

Explain how the strategies could be applied in the safety issues or sentinel events you have identified.

Safety Improvement Plan
List any future actions needed to prevent reoccurrence.

Action Plan (One for each Root Cause/Contributing Factor from above) E / C / A (Choose one)
1
2
3
E = eliminate (i.e., piece of equipment is removed, fixed, or replaced.)
C = control (i.e., additional step/warning is added or staff is educated/re-educated)
A = accept (i.e., formal or informal discussions of “don’t let it happen again” or “pay better attention” but nothing else will change, and the risk is accepted)

Describe any new processes or policies and/or professional development that will be undertaken to address the root cause(s).

Provide a description of the goals or desired outcomes of the actions listed above, along with a rough timeline of development and implementation for the plan.

Existing Organizational Resources
Identify resources that may need to be obtained for the success of the safety improvement plan. Consider what existing resources may be leveraged to enhance the improvement plan.

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References:

Institute for Healthcare Improvement. (2017). Root Cause and Systems Analysis. Retrieved from http://www.ihi.org

Agency for Healthcare Research and Quality. (2018). Patient Safety Network: Root Cause Analysis. Retrieved from https://psnet.ahrq.gov
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For this assessment, you can use a supplied template to conduct a root-cause analysis. The completed assessment will be a scholarly paper focusing on a quality or safety issue in a healthcare setting of your choice as well as a safety improvement plan.

ALL 6 CRITERIAS MUST BE MET:
1. Analyze the root cause of a specific sentinel event or a patient safety issue in an organization.
Analyzes the root cause of a specific sentinel event or a patient safety issue in an organization. Notes the degree to which various causes contributed to the issue or event.

2. Apply evidence-based and best-practice strategies to address a safety issue or sentinel event.
Applies evidence-based and best-practice strategies to address a safety issue or sentinel event. Notes how the strategies will address the issue or event.

3. Create a feasible, evidence-based safety improvement plan to address a specific patient safety issue.
Creates a feasible, evidence-based safety improvement plan. Refers explicitly to scholarly or professional resources to support the plan.

4. Identify existing organizational resources that could be leveraged to improve a plan.
Identifies existing organizational resources that could be leveraged to improve a plan. Prioritizes resources according to potential impact.
5. Organize content so ideas flow logically with smooth transitions; contains few errors in grammar or punctuation, word choice, and spelling.
Organizes content with a clear purpose. Content flows logically with smooth transitions using coherent paragraphs, correct grammar and punctuation, and word choice, and is free of spelling errors.

6. Apply APA formatting to in-text citations and references exhibiting nearly flawless adherence to APA format.
Exhibits strict and flawless adherence to APA formatting of headings, in-text citations, and references. Quotes and paraphrases correctly.

Nursing practice is governed by healthcare policies and procedures as well as state and national regulations developed to prevent problems. It is critical for nurses to participate in gathering and analyzing data to determine causes of patient safety issues, in solving problems, and in implementing quality improvements.
For this assessment, use the specific safety concern identified in your previous assessment as the subject of a root-cause analysis and safety improvement plan.
Instructions
The purpose of this assessment is to demonstrate your understanding of and ability to analyze a root cause of a specific safety concern in a healthcare setting. You will create a plan to improve the safety of patients related to the safety quality issue presented in your Assessment Supplement PDF in Assessment 1. Based on the results of your analysis, using the literature and professional best practices as well as the existing resources at your chosen healthcare setting, provide a rationale for your plan.
Use the Root-Cause Analysis and Safety Improvement Plan [DOCX] template to help you to stay organized and concise.
Additionally, be sure that your plan addresses the following, which corresponds to the grading criteria in the scoring guide. Please study the scoring guide carefully so you understand what is needed for a distinguished score.
• Analyze the root cause of a patient safety issue or a specific sentinel event in an organization.
• Apply evidence-based and best-practice strategies to address the safety issue or sentinel event.
• Create a viable, evidence-based safety improvement plan.
• Identify existing organizational resources that could be leveraged to improve your plan.
• Communicate in writing that is clear, logical, and professional, with correct grammar and spelling, using current APA style.
Additional Requirements
• Length of submission: Use the provided template to create a 4–6 page root-cause analysis and safety improvement plan. A title page is not required but you must include a reference list as per the template.
• Number of references: Cite a minimum of 3 sources of scholarly or professional evidence that support your findings and considerations. Resources should be no more than 5 years old. Use the BSN Nursing Program Library Guide as needed.
• APA formatting: Format references and citations according to current APA style. See the APA Module.
Competencies Measured
By successfully completing this assessment, you will demonstrate your proficiency in the following course competencies and scoring guide criteria:
• Competency 1: Analyze the elements of a successful quality improvement initiative.
o Apply evidence-based and best-practice strategies to address a safety issue or sentinel event.
o Create a feasible, evidence-based safety improvement plan to address a specific patient safety issue.
• Competency 2: Analyze factors that lead to patient safety risks.
o Analyze the root cause of a specific sentinel event or a patient safety issue in an organization.
• Competency 3: Identify organizational interventions to promote patient safety.
o Identify existing organizational resources that could be leveraged to improve a plan.
• Competency 5: Apply professional, scholarly, evidence-based strategies to communicate in a manner that supports safe and effective patient care.
o Organize content so ideas flow logically with smooth transitions; contains few errors in grammar or punctuation, word choice, and spelling.
o Apply APA formatting to in-text citations and references exhibiting nearly flawless adherence to APA format.

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_____________________________________

Root-Cause Analysis and Safety Improvement Plan

Completed by: (Student Name)
Organization: School of Nursing and Health Sciences, Capella University
Department: NURS4035: Improving Quality of Care and Patient Safety
Reported to: (Instructor Name)
Date Completed by: (Date)

This template is provided as an aid in organizing the steps in a root-cause analysis. Not all possibilities and questions will apply in every case, and there may be others that will emerge in the course of the analysis. However, all possibilities and questions should be fully considered in your quest for “root cause” and risk reduction.

A sentinel event is a patient safety event that occurs unexpectedly and is not primarily related to the natural course of the patient’s illness or underlying condition.
These events are debilitating not only for patients but also for the health care providers involved. The goal is to learn from these incidents, improve systems, and prevent further harm to patients

Can You Write for Global Standards?

Yep! Whether it’s UK, US, or Australian rules, we adapt your paper to fit your institution’s style and expectations perfectly.

Remember, a thorough root-cause analysis aims to uncover both immediate causes and underlying systemic issues to prevent similar events in the future.

Understanding What Happened
1. What happened?: Begin by understanding the sequence of events leading up to the sentinel event. Gather detailed information about the incident, including the timeline, people involved, and context.
o Who did the problem/event affect, and how?
2. Why did it happen?:
o Human Factors: Investigate whether communication breakdowns, staff fatigue, or lack of training contributed.
o System Factors: Examine workflow processes, equipment failures, and environmental factors.
o Organizational Culture: Assess if there are cultural issues, lack of safety culture, or inadequate leadership support.
o Society/Culture: What role might cultural assumptions or backgrounds play?

3. Was there a deviation from protocols or standards?:
o Procedures and Policies: Determine if established protocols were followed or if there were deviations.
o Were there any steps that were not taken or did not happen as intended?
o Documentation: Review medical records, nursing notes, and other relevant documentation.
4. Who was involved?:
o Staff: Identify the roles of individuals directly involved in the event.
o Supervisors and Managers: Investigate
5. Was there a breakdown in communication?:
o Interdisciplinary Communication: Assess how well different teams communicated.
o Patient-Provider Communication: Explore whether patients were informed and understood their care.
6. What were the contributing factors?:
o Physical Environment: Consider facility layout, equipment availability, and workspaces.
o Staffing Levels: Evaluate if staffing was adequate.
7. Training and Competency: Assess staff’s knowledge and skills.
8. Did organizational policies or procedures play a role?:
o Policy Compliance: Investigate if policies were followed.
o Policy Clarity: Assess if policies are clear and accessible.
9. Was there a failure in monitoring or surveillance?:
o Vital Signs Monitoring: Check if there were any missed signs.
o Alarm Fatigue: Explore if alarms were ignored.

10. What can be learned to prevent recurrence?:
o Lessons Learned: Identify systemic changes, training needs, and improvement opportunities.
o Quality Improvement: Consider implementing preventive measures.
11. How can patient safety be enhanced?:
o Risk Mitigation: Develop strategies to minimize risks.
o Education and Training: Ensure staff are well-trained.
12. Reporting and Feedback: Encourage open reporting and learning from mistakes.

Root Cause(s) to the issue or sentinel event?
Upon completion of the analysis above, please explicitly state one or more root causes that led to the issue or sentinel event. Please refer to the factors discussed above and categorize each root cause by choosing all that apply.
Root Cause – the most basic reason that the situation occurred Contributing Factors - additional reason(s) that clearly made a situation turn out less than ideal HFC HF T HF
F/S E R B
1
2
3
HF-C = Human Factor-communication HF-T = Human Factor-training HF-F/S = Human Factor-fatigue/scheduling
E= environment/equipment R= rules/policies/procedures B=barriers

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Application of Evidence-Based Strategies

Identify evidence-based best practice strategies to address the safety issue or sentinel event.
(Describe what the literature states about the factors that lead to the safety issue)
(For example, interruptions during medication administration increase the risk of medication errors by specifically stated data.)

Explain how the strategies could be applied in the safety issues or sentinel events you have identified.

Safety Improvement Plan

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List any future actions needed to prevent reoccurrence.
Action Plan
One for each Root Cause/Contributing Factor from above E / C / A
Choose one
1
2
3
E = eliminate (i.e. piece of equip is removed, fixed or replaced.)
C = control (i.e. additional step/warning is added or staff is educated/re-educated)
A = accept (i.e. formal or informal discussions of “don’t let it happen again” or “pay better attention” but nothing else will change and the risk is accepted)

Describe any new processes or policies and/or professional development that will be undertaken to address the root cause(s).

Provide a description of the goals or desired outcomes of the actions listed above, along with a rough timeline of development and implementation for the plan.

Existing Organizational Resources

Identify resources that may need to be obtained for the success of the safety improvement plan. Consider what existing resources may be leveraged to enhance the improvement plan.

References:

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