Risk Management Policy & Procedure.

1. Purpose

This policy outlines how Renee identifies, assesses, manages, and reviews risks associated with operating a solo private practice. Its purpose is to ensure safe, ethical, and legally compliant service delivery and to minimise risks to clients, the psychologist, property, and data.

2. Scope

This policy applies to all activities undertaken by the psychologist, including clinical work, administration, telehealth, record-keeping, client communication, and physical practice operations.

3. Policy Statement

Renee is committed to maintaining a safe and effective professional environment by implementing structured risk management systems. All risks—including clinical, operational, environmental, cybersecurity, ethical, and personal safety risks—will be proactively identified and addressed.

4. Definitions

  • Risk: Anything with the potential to cause harm or negative outcomes.

  • Risk Management: The structured process of identifying, assessing, mitigating, and reviewing risks.

  • Critical Incident: Any event posing significant danger to life, safety, legal compliance, or professional integrity.

5. Responsibilities

5.1 Psychologist

As the sole practitioner, Renee is responsible for:

  • Maintaining a safe practice environment

  • Conducting ongoing risk assessments

  • Maintaining professional and legal compliance

  • Documenting all risk-related actions

  • Participating in regular professional supervision

  • Ensuring emergency and business continuity planning is current

6. Types of Risks

6.1 Clinical Risks

  • High-risk presentations: suicidality, self-harm, family violence, child protection, acute mental health crises, aggression

  • Boundary issues or dual relationships

  • Misdiagnosis or inadequate treatment planning

  • Inadequate documentation

6.2 Operational & Administrative Risks

  • Appointment scheduling errors

  • Billing/Medicare rebate issues

  • Client dissatisfaction and complaints

  • Working alone without immediate support

  • Lack of backup coverage during illness or absence

6.3 Personal Safety Risks

  • Aggressive or unpredictable clients

  • Lone-worker safety (after-hours work, isolated office)

  • Slips, trips, fire hazards, building security deficiencies

6.4 Technology & Cybersecurity Risks

  • Data breaches

  • Unencrypted communications

  • Hacking, phishing, or ransomware

  • Loss of devices holding client information

6.5 Legal & Ethical Risks

  • Breach of privacy laws

  • Failure to meet mandatory reporting requirements

  • Noncompliance with professional board standards

  • Improper storage or disposal of client records

7. Risk Management Procedure

7.1 Risk Identification

Risks are identified through:

  • Referral information about clients

  • Information shared in Client Enquiry Forms

  • Intake assessments

  • Ongoing session review

  • Supervision discussions

  • Environmental checks of the practice

  • Technology audits

  • Reviewing complaints and near-misses

7.2 Risk Mitigation Strategies

7.2.1 Clinical Risk Mitigation

  • Provide clear information via www.reneelouisepsychology.com for prospective clients and referrers regarding types of clinical presentations Renee does and does not work with, where Renee does not work with high-risk presentations due to scope of practice and safety considerations inherent in being a solo private practitioner.

  • Reinforce presentations that Renee does not working with through requiring acknowledgement by the enquiring individual in the Client Enquiry Form.

  • Feedback clearly to referrers the reason why a referral is rejected, in order to minimise the incident of future inappropriate referrals being received.

  • Conduct full intake assessments, including checking for suicidality/self-harm

  • Conduct risk assessments for suicidality/self-harm where relevant

  • Develop crisis and safety plans with clients where indicated

  • Maintain up-to-date emergency contacts for clients

  • Consult with GPs, psychiatrists, or other providers when appropriate

  • Use supervision for complex cases

  • Ensure clinical notes meet professional standards

  • Maintain clear boundaries and informed consent processes.

7.2.2 Lone-Worker & Personal Safety Strategies

  • Maintain a device for which communication is available within reach (i.e., iPad)

  • Keep exit paths unobstructed and doors unlocked for ease of exit

  • Escalating behaviour may involve de-escalation, leaving the room, alerting Sarah Moore of Sarah Moore Psychology (in adjacent room), or contacting emergency services

  • Do not undertake out of hours appointments.

7.2.3 Environmental & Facility Safety Strategies

  • Maintaining a well-lit entrance and waiting area

  • Ensuring compliance with building codes

  • Conducting annual workplace safety inspections

  • Securing furniture to avoid injury hazards

7.2.4 Cybersecurity & Information Management

  • Use encrypted practice management software

  • Enable multi-factor authentication on all devices

  • Secure all devices with strong passwords

  • Never use public Wi-Fi without a VPN

  • Follow legal guidelines for data retention and destruction

7.2.5 Operational Risk Mitigation

  • Use automated appointment reminders

  • Keep clear cancellation policies

  • Maintain financial records securely

  • Have documented procedures for client complaints

  • Establish a contingency plan for illness or leave (network of colleagues for referrals)

7.2.6 Ethical & Legal Compliance

  • Maintain current registration and insurance

  • Comply with all regulatory, ethical, and privacy requirements

  • Document mandatory reporting decisions clearly

  • Maintain clear consent forms for therapy, telehealth, and privacy practices

7.3 Critical Incident Procedure

7.3.1 Immediate Actions

If a critical incident occurs (e.g., imminent suicide risk, violence, medical emergency, data breach):

  1. Prioritise safety of all persons

  2. Call emergency services if required

  3. Call emergency contact if required

  4. Call police if required

  5. Document the incident thoroughly

  6. Notify relevant authorities if legally required (e.g., mandatory reporting, data breach notifications)

7.3.2 Post-Incident Actions

  • Inform professional indemnity insurer if applicable

  • Seek supervision or debriefing

  • Review whether practice changes are needed

7.4 Documentation

The psychologist will maintain:

  • Incident and near-miss reports

  • Records of supervision

  • Copies of policies

  • Evidence of training

All documents will be securely stored in accordance with privacy legislation.

7.5 Review & Continuous Improvement

  • Lessons from complaints, incidents, or supervision will inform updates

  • Emerging risks (e.g., new technology) will be integrated promptly.