Transcript Teal

“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
What Does A “Risk Based”
Approach to Regulation Mean?
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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
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
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
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
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
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
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
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
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
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: [email protected]
Website: www.dshs.state.tx.us
Presented at the 2004 CLEAR Annual Conference
September 30 – October 2
Kansas City, Missouri