SUDBURY DISTRICT HEALTH UNIT Risk Management Board of
SUDBURY & DISTRICT HEALTH UNIT Risk Management Board of Health Workshop May 27, 2016 Dr. Penny Sutcliffe, Medical Officer of Heath/Chief Executive Officer Sandra Laclé, Acting Director, Corporate Services Krista Galic, Specialist, Quality and Monitoring www. sdhu. com 1 ©
SUDBURY & DISTRICT HEALTH UNIT 1. Context and Process Ontario Public Health Organizational Standards o 3. 1 Board of health stewardship o 4. 2 Board of health member orientation and training - Risk Management oversight o 6. 2 Risk management - Delegated to senior staff Ontario Government audits of health units have highlighted risk management Audit recommendation to adopt a Risk Management framework www. sdhu. com 2
SUDBURY & DISTRICT HEALTH UNIT 1. Context and Process (cont’d) SDHU review of Algoma Public Health Assessor’s report SDHU May 5, 2016 board governance training al. PHa support: o Promoting and coordinating risk management training o Provincial workshops November 5, 2015 and February 24, 2016 o al. PHa Provincial Risk Management Working Group www. sdhu. com 3
SUDBURY & DISTRICT HEALTH UNIT 1. Context and Process (cont’d) SDHU Actions to Date: Participation in al. PHa Working Group April 14 - 15 – Senior Management workshop May 3 – Senior Management workshop May 6 – Board Executive Committee May 27 – Board Risk Management workshop www. sdhu. com 4
SUDBURY & DISTRICT HEALTH UNIT 2. Identified Organizational Risks… www. sdhu. com 5
SUDBURY & DISTRICT HEALTH UNIT 2. …and Risk Mapping 24 risks identified: • 14 high risk o In 9 categories • 7 medium risk o In 6 categories • 3 low risk o In 3 categories www. sdhu. com 6
SUDBURY & DISTRICT HEALTH UNIT 2. Identified Organizational Risks and Risk Mapping (cont’d) 1. Financial: Budget pressures, financial forecasting, fraud 2. Governance/Organizational: Board competencies, consideration of changes in statutes, policies and directions 3. Human Resources: Succession and business continuity planning, staff competencies, staff engagement, staff working offsite 4. Knowledge/Information: Incomplete 5. Technology: Network outage, technology plan www. sdhu. com 6. 7. 8. 9. 10. 11. 12. 13. 14. Legal/Compliance: Statutes and regulations Service Delivery/Operational: Services are value add Environment: Hazards Political: Health system transformation Stakeholder/Public Perception: Indigenous relationships, managing expectations Strategic/Policy: Strategic plan Security: Network security Privacy: Internal controls Equity: Priority populations 7
SUDBURY & DISTRICT HEALTH UNIT 3. Reflection Overall Gaps and Priorities: 1. Are there risks you were expecting to see that are not on the list? 2. Are there risks on the list that should not be included? 3. Other comments or questions? www. sdhu. com 8
SUDBURY & DISTRICT HEALTH UNIT 3. Reflection Overall (cont’d) Risk Appetite: The amount and type of risk that the SDHU is willing to take in order to meet strategic objectives. Scale 1. Zero risk Not willing to accept risk (threats or opportunities) 2. Low risk Unwilling to accept even a very limited amount of threat (downside risk) in most circumstances unless the opportunities (upside risk) exceed the threat 3. Modest risk 4. Moderate risk 5. High risk Willing to accept some threats in certain circumstances that include opportunity www. sdhu. com Willing to accept some threats commensurate with the potential opportunity Willing to accept risk - a high level of inherent downside risk (threats) in circumstances where there are significant or important opportunities 9
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down Questions for each “code red” risk: 1. 2. 3. 4. Is the evaluation of the risk accurate? Does this risk fall into the Risk Tolerance/Appetite of the Board? Are there other controls that should be considered? Should additional time and resources be invested in future controls to reduce the risk? Risk appetite filter overall and for each “code red” risk: www. sdhu. com 10
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Financial #1 – Likelihood 5 Impact 5 • The SDHU may be at risk as budget pressures are expected to increase over the next several years. www. sdhu. com 11
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Financial #2 – Likelihood 4 Impact 4 • The SDHU may be at risk of financial forecasting not providing sufficient information for decision making resulting in suboptimal financial management within year. www. sdhu. com 12
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Governance #1 – Likelihood 4 Impact 5 • The SDHU may be at risk as Bo. H members, individually or collectively, may not have the required competencies for effective Board Governance. www. sdhu. com 13
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Governance #2 – Likelihood 4 Impact 3 • The SDHU may be at risk of not systematically ensuring that the governance implications of changes in statutes, policies, and directions have been considered. www. sdhu. com 14
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Human Resources #1 – Likelihood 5 Impact 5 • The SDHU may be at risk as a result of an insufficient investment in succession and business continuity planning. www. sdhu. com 15
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Human Resources #2 – Likelihood 4 Impact 4 • The SDHU may be at risk as staff may not have all of the necessary competencies to meet evolving Public Health needs. www. sdhu. com 16
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Technology #1 – Likelihood 3 Impact 5 • The SDHU may be at risk of a network outage. www. sdhu. com 17
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Technology #2 – Likelihood 4 Impact 3 • The SDHU may be at risk of not having a comprehensive and future oriented information technology plan and planning processes. www. sdhu. com 18
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Service Delivery/Operational #1 – Likelihood 3 Impact 4 • The SDHU may be at risk of our service not being perceived as a value add to our clients. www. sdhu. com 19
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Political #1 – Likelihood 5 Impact 5 • The SDHU may be at risk of significant disruptions and high opportunity costs related to health system transformation. www. sdhu. com 20
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Stakeholder/Public Perception #1 – Likelihood 5 Impact 5 • The SDHU may be at risk of poorly defined relationships with Indigenous communities. www. sdhu. com 21
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Stakeholder/Public Perception #2 – Likelihood 5 Impact 4 • The SDHU may be at risk of uncertainty around managing the expectations of the public, ministries, stakeholders, and/or the media to prevent disruption of service or criticism of Public Health and a negative public image. www. sdhu. com 22
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Strategic/Policy #1 – Likelihood 4 Impact 4 • The SDHU may be at risk of not developing an effective Strategic Plan given the great uncertainty with health system transformation. www. sdhu. com 23
SUDBURY & DISTRICT HEALTH UNIT 4. “Code Red” Drill Down (cont’d) Equity #1 – Likelihood 5 Impact 5 • The SDHU may be at risk of not effectively leveling up the health status with priority populations. www. sdhu. com 24
SUDBURY & DISTRICT HEALTH UNIT 5. Next Steps • First step to systematically assess organizational risk • How do we define success? • What are we aiming for? www. sdhu. com 25
SUDBURY & DISTRICT HEALTH UNIT 5. Next Steps (cont’d) June Board Meeting Fall 2016 and Beyond • Briefing note and motion • Direction to develop a Board-level risk management policy • Board risk management policy and plan o Mitigation process, evaluation and reporting plan o Current risk management plan • Staff risk management o Healthy risk culture o Program/project drill down www. sdhu. com 26
SUDBURY & DISTRICT HEALTH UNIT This presentation was prepared by staff at the Sudbury & District Health Unit. This resource may be reproduced, for educational purposes, on the condition that full credit is given to the Sudbury & District Health Unit. This resource may not be reproduced or used for revenue generation purposes. © Sudbury & District Health Unit, 2016 www. sdhu. com 27
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