Risk
Profiling
Overview
Tom O’Regan
September 2014
HIQA: Risk Profiles
• Our Risk Profile tool is core to responsive regulation and
in large part informs how the Authority responds to risk in
designated centres
• The Risk Profile provides the caseholder with a risk rating
of each centre on his/her caseload at any one point in
time
• It also enables the caseholder to view a centre’s profile
over time and determine if there is an escalating, deescalating or static pattern to the assessed risk
• The Risk Profile is also useful for resource planning
Risk profiling: current scope
[“Prism” ICT system went live September 2013]
Within Prism now:
• Elderly care
• Disability
Currently outside Prism:
• Children’s services
Under development:
• Healthcare
Risk Matrix
Risk: Impact and Likelihood
Likelihood (Probability) of Recurrence
Impact
1
2
3
4
Rare
Unlikely Possible Likely
5 Catastrophic
5
10
15
20
4 Major
4
8
12
16
3 Moderate
3
6
9
12
2 Minor
2
4
6
8
1 Negligible
1
2
3
4
Risk: Scoring
Risk Score
Score
Grade
15-25
Significant risk
8-12
4-6
1-3
Moderate risk
Low risk
Very low risk
5
Almost certain
25
20
15
10
5
Risk Profiles and the PRISM system
Business Intelligence
Scheduling
Receipt of Information
Risk Profile
Monitoring
Directory
Risk Profile – Operation in the Prism system
• The Risk Profile gives the inspector a risk rating for each
centre/service in their caseload
• Background process runs once a week and compiles a Risk Profile
with these components:
1.
2.
3.
4.
5.
Governance and management
Corrective Action Plans – to resolve non-compliances
Unsolicited information received – of potential high risk
Formal Notifications from centres of potentially high-risk events
Enforcement activity (i.e. legal action) underway
• There is one current Risk Profile under each centre/service at any
time
• Each centre/service will have a list of Risk Profiles associated with
it over time
• Profile history is essential for trend analysis
Risk Profiling and BI
• PRISM’s inbuilt features - Views / Charts and
Dashboards present information at different
levels:
–
–
–
–
Inspector (I)
Inspector Manager (IM)
Head of Program (HoP)
Sector overview: senior management
• Reports – Provide a deeper capability for analysis
Risk Management - HIQA versus other Regulators
Regulator
BI
Risk
Strategy Model
HIQA
Yes
Centre
Profile
CQC
Yes
QRP /
(England)
Intelligent
Monitoring
Model
IGZ
Yes
Risk
(Netherlands)
Profiling
System
IVO
Yes
Risk
(Sweden)
Analysis
Model
Statistical
Basis
No
Data Scope
Dashboards
Internal
Yes
Yes (QRP) /
No (IMM)
Internal /
External
Yes
Yes
Internal /
External
Yes
Yes
Internal /
External
?
Future Risk Profiling
• Predictive Analytics
– Using previously high risk centres can we predict
future high risk centres?
• Text mining
• Listen on other channels (social media)?
• Enhanced self-service analytics
• Risk profiling for Healthcare services
Risk
Profiling
Overview
September 2014