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Course 7R_Essentials of Risk Management - Study Guide - New Quiz



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Risk Management Programs seek to ____________.
identify the Risk Issues which are INHERENT in the work we do.
develop a Prevention Plan to address the inherent Risk Issues
PREVENT Critical and Adverse Incidents which are a threat to our legal, professional, and financial safety
CORRECT problems when Critical or Adverse Incidents occur
All of the above
A Critical Incident is defined in this course as
a workplace event which may be traumatic or catastrophic in nature
an event which may result in lawsuits and other legal sanctions
an event which presents a major risk to the organization’s integrity or legal, professional, and financial safety
all of the above
An Adverse Incident is what type of issue?
an unacceptable Compliance Indicator or an unacceptable Performance Indicator that must be addressed if it occurs twice.
an unacceptable Performance or Outcome Indicator (a level of achievement which is below expectation) which needs immediate attention
an unacceptable Compliance Indicator (violation of a rule, regulation, or established procedure) which needs immediate attention
all of the above
the second and third answers above
An Adverse Incident rarely escalates to Critical Incident status.
True False
risks which are closely associated with the type of business we are operating and the type of clients we serve.
invariably present even if the organization is following a good set of Policies and Procedures.
both of the above
none of the above
A complete set of Policies and Procedures are as effective as a Risk Management Program in preventing Adverse and Critical Incidents.
True False
The FOCUS of Policies and Procedures is the identification of potential and actual PROBLEMS – procedures which are NOT ‘going as planned.’
True False
The case examples presented in this course demonstrate that Adverse and Critical Incidents usually occur because employees and managers are not adhering to the organization's Policies and Procedures.
True False
Prospective Risk Management asks and answers the question,
What did we do wrong?
How do we correct identified Performance Outcome Measurement problems?
What can go seriously wrong here?
Prospective Risk Management Prevention Plans focus upon control of the vulnerabilities that are inherent in the workplace – as if to say, “We know that this event has a high potential to ‘go wrong’ and we are determined to prevent it.”
True False
The first Prospective Risk Management step is to
develop a Prevention Plan
identify the inherent risks associated with the business, i.e., what can go seriously wrong here?
perform an Impact Analysis
The second step in Prospective Risk Management is
develop a Prevention Plan which includes actions intended to prevent the inherent risks
develop a Prevention Plan that contains targets or indicators to tell us if we are succeeding
both of the above
Impact Analysis - an essential Prospective Risk Management step prior to making major changes in the workplace - ensures that only INFORMED CHANGES are made in the workplace. The Impact Analysis considers the potential impact upon . . . .
the quality of employee-employer interaction, including clarity of communication, up and down the ladder.
the management of stress in the workplace, including safety of the environment for employees, clients, and customers.
the clarity of employee and management roles within the workplace
the quality and the reputation or desirability of the service or product which is produced
all of the above
Impact Analysis - an essential Prospective Risk Management step prior to making major changes in the workplace - asks the following questions:
Is there a potential for a negative impact upon outcome indicators, including the safety of our product or our financial stability?
Are we clear about what we are trying to accomplish with this change, and does it make sense based upon the knowledge in the industry?
Are there enough human resources to make this change without disrupting other operations?
All of the above
Only the first and third answers
We develop Outcome and Compliance Indicators as Prospective Risk Management tools. The indicators help to answer which question?
‘What we are trying to accomplish here (what are our goals)?’
‘How well are we doing it?’
‘Are we performing at or above expectations?’
‘Are we compliant with prevailing rules and regulations?’
All of the above
Retrospective Risk Management Reviews . . .
address Critical and Adverse Incidents that have already occurred
focus upon WHAT happened, WHY it happened, and HOW can we fix it (prevent recurrence)
identify Contributing Factors which contributed to – or may have contributed to – the occurrence of an Adverse or Critical Incident in the workplace
develop a Correction and Improvement Plan that addresses the Contributing Factors and includes targeted Indicators of success
all of the above
Risk Management committees respond to Critical and Adverse Incidents by identifying the Contributing Factors which caused the Incident.
True False
In this course, our example which reads 'We must serve at least 10 people in the detox unit per day, and 80% of them must be ready to step down to the Intensive Outpatient Program within xx days.' was an example of _________.
an Indicator in a Risk Management Contingency Response Plan.
a Performance and Outcome Indicator that could appear in a Prospective Risk Management Prevention Plan.
The Joint Commission tells us that . . .
Critical and Adverse Incidents are ‘Opportunities for Improvement.’
an active Quality and Risk Management program is the best defense against lawsuits and other legal repercussions including loss of licensure or certification or financial integrity.
both of the above
none of the above
In this course, Retrospective Risk Management Review analyzes both the 'human factors' and the 'technical and mechanical factors' which may have been associated with the Incident.
True False
Retrospective Review of a Critical or Adverse Incident ALWAYS attempts to identify the Human Factors – employee or management issues or both – which did contribute or may have contributed to the incident.
True False
One type of Retrospective Risk Management Review in the US Military occurs after every battlefield engagement and training- or combat-related incident and is referred to as
The Chalk Talk
The After-Action Review
The Action Re-Run
In civil court professional negligence lawsuits, the verdict of culpability oftentimes boils down to one primary issue:
Was there failure to take an action which the employer or employee(s) knew would have or could have prevented the Critical Incident?
Was there failure to take an action which the employer or employee(s) knew, or should have known, would have or could have prevented the Critical Incident?
In the case study of an EAP’s assistance to a Warehouse Manager in the Retrospective Review Process, what was NOT a Contributing Factor in the fatal accident?
The Warehouse Manager failed to consider the impact which his scheduling change would have upon the warehouse employees' social milieu and stress reduction resources.
The high-loader machine operator had insufficient training in the operation of the new machine.
The Manager failed to do a prospective Impact Analysis before making the changes in scheduling.
All of the above
None of the above
In this course, what is identified as a focal point upon which investigators and attorneys are guaranteed to focus, in negligence litigation?
Failure to correct known issues
The amount of money the company intended to save by its inaction
Failure to document
All of the above
The first and third answers
If a compliance reviewer or the court says that we have 'failed to correct known issues,' ___________________
we have been previously warned about the known issues.
we have either inadvertently or negligently failed to take action to correct the problems.
both of the above
it is equivalent to ignoring a 'red flag' situation.
In the case vignettes in this course, what is NOT said to be a legal VULNERABILITY which commonly draws the attention of regulators and lawyers in the event of a Critical Incident?
Insufficient training or certification for an action that was taken OR failure to document the training
Failure to address a RISK ISSUE which was previously identified
How long you took to report the incident.
Failure to internally communicate important information within the organization, about an identified RISK situation.
Negating an identified Risk Management issue, without documenting a logical reason for the decision not to address it.
Still looking at Vulnerabilities: When a Critical incident has occurred and a lawsuit follows, the defendants (Management and/or Employees) may not have actually committed an egregious act which led to the Critical Incident. Nevertheless, the defendants may be held liable because ___________.
they can’t prove that they took positive actions because they failed to document WHAT they did and WHY they did it.
they made a professional decision to take no action regarding an identified issue, but they failed to document the logical reason which would support their decision not to act.
the Plaintiff is leaning upon the traditional investigator's mantra which says 'If it's not documented, it didn't happen.'
All of the above
US history indicates that a competent Manager in the Military or in Government or in the Corporate or Industrial business world does not need the consultation services of an EAP.
True False
In Behavioral Health treatment programs, Management teams must oftentimes conduct Risk Management activities without access to an external Quality Management consultant.
True False
What is an element of Retrospective Risk Management Review which works to uncover the less-obvious Risk Factors which have contributed to an Incident or performance problem within the organization?
Impact Analysis
Internal Audit
neither of the above
The purpose of the two 'Checklist Guides' in the Retrospective Review section is a time-saving mechanism. We can use these two lists to quickly eliminate from consideration the potential Contributing Human Factors which Management believes have never been a problem in this organization.
True False
Since the 1970s, Employment Assistant Programs (EAPs) have provided consultation and coaching to the Management of the US Military and VA, all Departments of the US Government, all Fortune 100 and 500 companies, and more than 77% of US businesses and corporations. Which of the following workplace issues do EAPs not address in their consultation to Management?
Identifying the Contributing Factors pertaining to Adverse and Critical Incidents – particularly the ‘human factors’ – and developing Correction and Improvement Plans.
Providing an external perspective of workplace dynamics and the impact of workplace changes upon the workforce.
Identifying the technical and mechanical Contributing Factors associated with Critical Incidents within work organizations.
Enhancing Management’s communication and supervision skills in the handling of difficult employees and in improvement of morale and performance.
Disaster preparedness and recovery and recognizing signs and symptoms of PTSD and SUDs,
What is NOT true about a 'Debriefing' in the workplace?
It is a structured on-site group intervention that occurs shortly after a traumatic (Critical) incident, led by an EAP or other mental health professional.
It provides a basic explanation to employees about the legal ramifications of the Critical Incident.
It provides basic information to employees about the Critical Incident.
It provides individuals an opportunity to discuss their feelings and thoughts about the event in a controlled and rational manner.
Employees learn about normal stress reactions, the symptoms of PTSD, and the availability of short-term follow-up counseling to reduce stress and support resilience.
What is NOT a function of EAPs' Risk Management Consultation to Management in the workplace?
Coaching in effective supervisory practices and the constructive resolution of conflict
Consultation regarding realistic and relevant performance expectations
Making administrative decisions when the Manager seems incapable.
Recognizing when a current practice or communication style has become detrimental to workforce morale and/or performance
Consultation in the use of positive methods of stimulating optimum performance and adherence to safety and established procedures
The success of an EAP or Behavioral Health Risk Management Plan depends upon all of the activities below, EXCEPT for which activity?
Identifying the most serious INHERENT Risks within the workplace, and addressing them in a Prospective Risk Management Prevention Plan.
When an Adverse or Critical Incident occurs, accurately identifying the cause(s) of the Incident.
Identifying the Contributing Factors associated with a Critical or Adverse Incident, through the Retrospective Risk Management Review process.
Conducting a Seven-Factor Impact Analysis before significant changes are made in the workplace.
Document. Document. Document.
In this course, Contingency Response Plans focus upon the prevention of catastrophic and seriously disruptive events within the organization and in the community.
True False
EAPs' collaborative partnership with the Department of Defense and the Department of Veteran Affairs is an example of CONTINGENCY RESPONSE PLANNING which serves to . . .
maintain a stable front-line offensive Military workforce despite unpreventable separation of valuable personnel from Active Duty
educate Military Command, VA Managers, and civilian employers of Veterans about the stress injuries of PTSD and its related clinical sequelae including SUDs.
provide direct services and information to support Active Duty Military personnel and their families through unpreventable Critical Incidents, multiple deployments, and physiological and psychological Traumatic Stress Injuries including PTSD and SUD.
provide coaching and consultation to Commanding Officers and Non-Commissioned Commanding Officers in the effective management and supervision of problem employees whose work is stressful and unpredictable.
all of the above
In this course, Community-Wide Contingency Response Planning requires all of the following things except _______________
a coordinated effort within a community to reduce the IMPACT and speed the RECOVERY from an unpredictable community catastrophe
a Prevention Plan to be put into place through community collaboration
collaborative development of a list of priority services which will be needed in the event of a specific catastrophe, and then assignment of organizations on a 'best fit' basis
re-prioritizing of Management's normal priorities, to accommodate the community's response and recovery process.
the commitment of community leaders to expand and enhance the community's current DISASTER RESPONSE plan.
In the de-identified Risk Management Death Review, the Risk Management Committee determined that . . .
there was an error in the physician's electronically rendered prescription for the client's medication, which apparently resulted in her death.
there was a need to develop a comprehensive 'pre-emptive approach' to the potential impact of a personal crisis in the lives of severely depressed clients.


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