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Proactive Public Protection: A Risk Based Approach

Learn how to implement a risk-based approach to regulation, including defining risk, identifying resources, and developing a work plan based on risk assessment. Evaluate your results and reduce the risk to the public.

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Proactive Public Protection: A Risk Based Approach

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  1. “Proactive Public Protection: A Risk Based Approach”Derek J. Jakovich, J.D., M.B.A., M.H.A., Manager, Patient Quality Care Unit, Texas Department of State Health Services Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  2. What Does A “Risk Based” Approach to Regulation Mean? • Define “Risk” • Who or what do you regulate? • Identify your resources • Develop a risk matrix • Develop and implement a work plan based on risk assessment • Evaluate your results Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  3. Risk Analysis • Risk is defined as “the element of uncertainty in an undertaking.” • Goal is to reduce the risk to the public that we are mandated to protect = Be Proactive! • Analysis: - who should you “target” ? - is there a mandated frequency of inspection? - prioritize complaints based on risk Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  4. Risk Analysis Continued • Is an onsite visit necessary? • Is self-inspection an option? • What is the average inspection/complaint investigation time? How many? • Are there any political factors to consider with certain regulated activities? • Are there required response times? • Is it a heavily regulated activity ? Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  5. Know Who/What you Regulate • Does the regulated activity affect a large or small # of the public ? • Do you inspect? Conduct complaint investigations? • Where is the licensed population – to focus resources where needed? • What is the compliance history of the “targeted” group? Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  6. Resource Issues • Adequate number of staff • Location of staff – regionally based, central office, or even home based? • Staff experience • Budget ($$$) • Geographic limitations of state • Law and rules – enforceability issue Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  7. Risk Matrix • Develop a risk matrix tool which identifies and analyzes the criteria which determine the level of risk associated with each regulated activity • In the following example, every firm is assigned a risk assessment of high (6-12 months), medium (12-18 months), or low (18-24 months) to determine inspection frequency • Assessment based on # value of key criteria associated with risk of food borne illness Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  8. Inspection Frequency Assessment/Profile • Inspections of Retail Food Establishments in Texas • 8 Criteria - type of facility - main menu items - type of water system - type of sewage disposal - type of food preparation (POH) - food served or sold - average # meals served per day - population served Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  9. Inspection/Investigation Workload Plan • Identify your data base inventory and determine who must be inspected and how often, e.g.., Firm X every 6 months, Firm Y every 18 months etc. • Analyze your complaint workload, based on categories of assigned risk • Focus resources where the greatest identified need is in the state • Adjust work plan as appropriate Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  10. Evaluate • Monitor and evaluate your work plan monthly, quarterly, yearly, and as needed • Perform quality assurance/CQI on performance results, including feedback to staff • Develop management reports to analyze efficiency, effectiveness, and resource utilization Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

  11. Proactive Public Protection: A Risk Based Approach • Speaker contact information: • Derek J. Jakovich, J.D., M.B.A., M.H.A., • Manager, Patient Quality Care Unit Texas Department of State Health Services 1100 W. 49th Street, Austin, Texas 78756 PH# (512) 834-6700, Fax# (512) 834-6736 E-mail: derek.jakovich@dshs.state.tx.us Website: www.dshs.state.tx.us Presented at the 2004 CLEAR Annual Conference September 30 – October 2 Kansas City, Missouri

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