Risk Management Strategy, Policy and Procedure

Transcription

1 Risk Management Strategy, Policy and Procedure DNV Quality and Risk Forum Autumn 2013

2 Strategy Strategy a plan of action designed to achieve a long-term or overall aim Looks to address and confirm the configuration of resources within an environment, to meet the needs of market and to fulfil stakeholder expectations". Johnson and Scoles Resources: People, equipment, external contracts Environment: Hospital, day care facilities, peoples homes Market: Healthcare Stakeholder: Patients, CCGs 2

3 Different levels of strategy Corporate Strategy - is concerned with the overall purpose and scope of the business to meet stakeholder expectations. This is a crucial level since it is heavily influenced by investors in the business and acts to guide strategic decisionmaking throughout the business. Corporate strategy is often stated explicitly in a "mission statement". Business Unit Strategy - is concerned more with how a business competes successfully in a particular market. It concerns strategic decisions about choice of products, meeting needs of customers, gaining advantage over competitors, exploiting or creating new opportunities etc. Operational Strategy - is concerned with how each part of the business is organised to deliver the corporate and business-unit level strategic direction. Operational strategy therefore focuses on issues of resources, processes, people, etc. 3

4 What should be included in a strategy? Clear definition of the service to be provided, and how the effective management of risk supports the organisation in providing a service that is safe and effective for all users. Definition of Risks facing the organisation Defined Objectives in relation to risk Approaches to be used by the organisation Proactively through the application of the Risk Management Strategy, Policies and Procedures and other associated documents, for example the Clinical Audit Policy and Procedure, the NICE Guidance Implementation Policy and Procedure, and the National Confidential Inquiries/Enquiries Implementation Policy and Procedure. Reactively in response to the application of Policies and Procedures and other associated documents, to support the management of incidents, concerns, complaints and claims and response and action to external inspections or reviews. 4

5 What should be included in a strategy? The Risk Appetite ( the level of risk the organisation is prepared to accept) as agreed by the organisation. This is intended to guide staff in their actions and ability to accept and manage risks. Board Assurance Framework (BAF) which outlines the principal objectives of the organisation, along with the risks to achieving these objectives, derived from the risk register. The BAF is reported monthly and supports the annual reporting Key Performance Indicators implementation of the strategy should be monitored using key performance indicators as agreed by the organisation and described in the Strategy 5

6 Policy Policy a course or principle of action adopted or proposed by an organisation or individual (what we aim to do) Policy describes the process for the management of risk within an organisation and the duties of all employees in respect to the effective management of risk promoting patient safety. This includes reporting requirements via the Governance framework Policy applies equally to risks involving patients, employees, volunteers, contractors, visitors, stakeholders, and members of the public who are affected by the work of the organisation. Examples of risks include threats to patient safety, health and safety, finance and information security. 6

7 Strategy Vs. Policy The major difference between Policy and Strategy is: Policy refers to a guide to the thinking and action of those who make decisions While strategy is more of the direction in which human and physical resources will be deployed and applied with the aim of maximizing the chance of achieving organisational objectives 7

8 Procedure A procedure is a statement of action to fulfil that intent (How we are going to do it) Procedure Mapping Exercises - Key Issues - Involvement of all stakeholders - Open channels of communication - Variables such as clinician preferences - One size does not fit all, this is a potential risk Format Options - Procedure flowcharts, which include clear descriptors 8

9 Other areas to consider Training - Risk management training for all groups of staff should be linked to the TNA Monitoring - A clear description of how the organisation is going to monitor compliance offers assurance to the board Appendices - For example, grading tools, risk appetite matrix, risk register template Reference and associated documents Strategy Policy & Procedure can be one document in support of the effective management of Risk. 9

10 DNV Healthcare Template Documents DNV have developed the following Template Documents, which can be accessed via the website: Risk Management Strategy, Policy & Procedure Incident Reporting & Management, Policy & Procedure What Template Documents would you like to see developed? 10

11 Questions? 11

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