Descriptor Insignificant Minor Moderate Major Catastrophic Absence for more than 7 days Minor injury or (RIDDOR) Major Death or major Minor injury not Absence for 3 – 6 Injury illness, first aid injuries, or long permanent requiring first aid days treatment needed term incapacity / incapacity disability (loss of limb) Unsatisfactory Totally Unsatisfactory Mismanagement Mismanagement Service User experience not unsatisfactory experience - of care – short of care – long Experience directly related to outcome or readily resolvable term effects term effects patient care experience Below excess Claim above Complaint / claim. Justified Multiple claims or Locally resolved Justified complaint excess level. Claim complaint single major complaint peripheral to care Multiple justified Potential involving lack of claim complaints appropriate care Service / Permanent loss Loss / interruption Loss / interruption Loss / interruption Loss / interruption Business of service or > 1 hour > 8 hours > 1 day > 1 week Interruption facility Late delivery of key objective / Non delivery of service due to lack key objective / Uncertain delivery of staff service due to Short term low of key objective / Human Ongoing low (recruitment, lack of staff. staffing level service due to lack Resources / staffing level retention or Loss of key staff. temporarily of staff. Serious Organisational reduces service sickness). Minor Very high reduces service error due to Development quality error due to turnover. Critical quality (< 1 day) insufficient insufficient error due to training training. Ongoing insufficient unsafe staffing training level Small loss(> Loss > Financial Loss > £1,000 Loss > £10,000 Loss > £100,000 £100) £1,000,000 Enforcement Action. Low Reduced rating. Minor rating. Critical Recommendations Challenging Prosecution. recommendations. report. Multiple Inspection / given. recommendations. CQC intervention Minor challenging Audit with Non-compliance Severely critical with recommendations. standards with core report standards Major standards with core standards National Media > Adverse 3 Days. MP Local Media - Local Media - long National Media < Publicity / Rumours Concern short term term 3 Days Reputation (Questions in House) Table 2 - Likelihood score 1 2 3 4 5 Rare Unlikely Possible Likely Almost Certain Descriptor Expected to Expected to Not expected to Expected to occur Expected to occur Frequency occur at least occur at least occur for years at least monthly at least weekly annually daily < 1% 1 – 5% 6 – 20% 21 – 50% > 50% Will only occur in Probability Reasonable chance More likely to exceptional Unlikely to occur Likely to occur of occurring occur than not circumstances Table 3 - Risk Rating Matrix
Descriptor Insignificant Minor Moderate Major Catastrophic Injury Minor injury not requiring first aid Minor injury or illness, first aid treatment needed Absence for 3 – 6 days Absence for more than 7 days (RIDDOR) Major injuries, or long term incapacity / disability (loss of limb) Death or major permanent incapacity Service User Experience Unsatisfactory experience not directly related to patient care Unsatisfactory experience - readily resolvable Mismanagement of care – short term effects Mismanagement of care – long term effects Totally unsatisfactory outcome or experience Complaint / Claim Potential Locally resolved complaint Justified complaint peripheral to care Below excess claim. Justified complaint involving lack of appropriate care Claim above excess level. Multiple justified complaints Multiple claims or single major claim Service / Business Interruption Loss / interruption > 1 hour Loss / interruption > 8 hours Loss / interruption > 1 day Loss / interruption > 1 week Permanent loss of service or facility Human Resources / Organisational Development Short term low staffing level temporarily reduces service quality (< 1 day) Ongoing low staffing level reduces service quality Late delivery of key objective / service due to lack of staff (recruitment, retention or sickness). Minor error due to insufficient training. Ongoing unsafe staffing level Uncertain delivery of key objective / service due to lack of staff. Serious error due to insufficient training Non delivery of key objective / service due to lack of staff. Loss of key staff. Very high turnover. Critical error due to insufficient training Financial Small loss(> £100) Loss > £1,000 Loss > £10,000 Loss > £100,000 Loss > £1,000,000 Inspection / Audit Minor recommendations. Minor with standards Recommendations given. with standards Reduced rating. Challenging recommendations. Non-compliance with core standards Enforcement Action. Low rating. Critical report. Multiple challenging recommendations. Major with core standards Prosecution. CQC intervention Severely critical report Adverse Publicity / Reputation Rumours Local Media - short term Local Media - long term National Media < 3 Days National Media > 3 Days. MP Concern (Questions in House) Table 2 - Likelihood score 1 2 3 4 5 Descriptor Rare Unlikely Possible Likely Almost Certain Frequency Not expected to occur for years Expected to occur at least annually Expected to occur at least monthly Expected to occur at least weekly Expected to occur at least daily Probability < 1% 1 – 5% 6 – 20% 21 – 50% > 50% Will only occur in exceptional circumstances Unlikely to occur Reasonable chance of occurring Likely to occur More likely to occur than not Table 3 - Risk Rating Matrix