Risk Management Policy

1   Introduction

1.1  This document outlines the policy adopted by The Hong Kong Association of Educational Psychologists Limited (HKAEP) in identifying, assessing, and prioritisation of risks so as to reduce the probability and impact of unfortunate events.

1.2  In educational psychology practice, effective risk management ensures safety and quality services for the service users and the practitioners.

2   The Role of the HKAEP in Risk Management for Educational Psychology Services

2.1  The HKAEP is the official governing body that regulate the standards of practice of educational psychologists. It shall help the field to establish a risk management model so as to ensure risks that are associated with the practice are risk-controllable. Besides, the HKAEP shall also devise a risk management model which ensures the sustainability of its functions and operations.

2.2  The roles of the HKAEP in risk management are:

2.2.1  To establish a risk management system so as to ensure its healthy operation as a regulating body for educational psychologists;

2.2.2  To provide tools and guidelines for registrants so as to help them minimize risks in their educational psychology practice; and

2.2.3  To educate the general public about risk-free educational psychology services.

3   Definitions of Risk

3.1  Risk is defined as “the effect of uncertainty on objectives”. Any uncertainties that affect the provision of quality educational psychology service, are called risks.

3.2  Risk management is the management of these uncertainties.

3.3  Quality educational psychology service can be defined as client-centered, safe, timely, effective, efficient, and equitable.

4   Risk Management Framework

4.1  The risk management framework adopts a proactive stance to identify and manage risks. Risk management shall be implemented at both the planning stage and day-to-day operations. All stakeholders are encouraged to engage in risk management planning and implementation.

4.2  The risk management is consisted of the following continuous processes:

4.2.1  Identify risks: Identifying potential risks and actual risks;

4.2.2  Analyze risks: Analyzing risks by using a risk matrix;

4.2.3  Develop risk control strategies: Developing strategies to avoid, manage, and mitigate risks; report incidents to the risk register;

4.2.4  Implement risk control strategies: Communicating strategies to stakeholders and implementing risk management techniques and systems;

4.2.5  Review with evidence: Monitoring the effectiveness of risk control strategies by gathering information and acting upon them.

5   Risk Identification and Classification in Educational Psychology Service

5.1  Risk defined by HKAEP are classified into four areas:

5.1.1  Risk pertaining to Educational Psychology profession
5.1.2  Risk pertaining to Accredited Educational Psychologists
5.1.3  Risk pertaining to HKAEP
5.1.4  Risk pertaining to the Register of Accredited Educational Psychologists

5.2  Educational psychologists should notice the common clinical risks and non-clinical risks involved in the operations of the HKAEP and in educational psychology practices across various settings and among different client groups. Various risks identified as listed in the Risk Taxonomy Table for reference (Appendix I).

6   Risk Analysis and Prioritization

6.1  Risks identified should be analyzed by appraising the likelihood of occurrence (Appendix II) and the potential consequence (Appendix III).

6.2  The Risk Matrix is used as the tool to record and quantify risks identified (Appendix II).

6.3  Prioritization of risks should then be conducted with consideration of the risk rating, criticality, tolerability of the risk, existence and effectiveness of control measures.

7   Risk Prevention and Control

7.1  Having identified the potential risks involved, HKAEP and educational psychologists should be proactive in applying risk prevention and control strategies in their organization and practices.

7.2  Handbook of Risk Management

7.2.1  A handbook of risk management procedures should be available in every work setting for all educational psychologists, staff and trainees. The handbook should cover the following:

i.    Safety and security precautions;
ii.   Incidents and accidents prevention strategies;
iii.  Special consideration of risks relevant to vulnerable groups;
iv.  Report mechanism to HKAEP Risk Register;
v.   Infection control; and
vi.  Education of registrants and service users.

7.2.2  Annual review of this handbook of quality and risk management procedures should be conducted and documented. Procedures should be revised should such need arises.

7.3  The Risk Registry

7.3.1       The Risk Register Table (Appendix V) is used for documenting the major risk management process, including risk identification, analysis, and control, targeting at risks avoidance and mitigation. The following components should be included in the Risk Registry:

i.   Description of the risk
ii.   Risk analysis (likelihood, consequence, rating), and prioritization
iii.  Control measures / quality improvement program / annual plan
iv.  Person in-charge of the risk management

7.3.2  HKAEP keeps an annual record of the Risk Registry. Educational Psychologists should report to HKAEP by submitting the Risk Registry Entry Form regarding their risk as appropriate, especially when new risks are identified. The Risk Register Table can be retrieved at HKAEP website.

7.3.3  The HKAEP Risk Registry is accessible on the HKAEP website and should be communicated to all relevant staff in educational psychology practices.

8   Evaluation and Improvement of Risk Control Measures

8.1  Upon identification and analysis of risks, HKAEP carries out quality improvement programs as risk control measures to manage risks. A member of the Board of Professional Council will be designated to take charge of the program. The start, review, completion dates and action plans of the program should be documented clearly.

8.2  Members of the Board of Professional Council will be responsible to audit the quality improvement programs every three years.

9   The Roles of Different Parties in Risk Management

9.1  Professional Council

9.1.1  The Professional Council of the HKAEP is responsible for managing risks of the administrative operations of the HKAEP.

9.1.2  Members of the Professional Council shall continuously monitor and evaluate any potential risks and propose feasible ways to control risks with reference to published evidence.

9.1.3  The Professional Council is also responsible for managing risks related to educational psychology practice and safeguarding service users, educational psychologists and the general public.

9.1.4  The Professional Council shall update the Risk Register every year.

9.1.5  Representatives of the Professional Council shall audit the accuracy and currency of the Risk Register, as well as the continuous quality improvement programmes every three years.

9.2  Continuing Education Committee

9.2.1  The Continuing Education Committee under the Professional Council is the executive body which evaluates any risks related to educational psychology practice and report to the Professional Council.

9.2.2  Members of the Continuing Education Committee shall monitor and evaluate any potential risks and propose feasible ways to control the risks with reference to published evidence.

9.2.3  The Continuing Education Committee is also responsible for monitoring any further incidence of the identified risks and report to the Professional Council, including any need to raise the risk alert to registrants and other stakeholders.

9.2.4  The Continuing Education Committee shall provide input to the Professional Council for the annual update of Risk Register.