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Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE

Type: Presentation 1

CASS [email protected] 206-774-0183

Pages: 40 Classification: Restricted

COMPLIANCE RESOURCEDATABASE PROJECT

A PRESENTATION FOR UW MEDICINE COMPLIANCE

mailto:[email protected]

2Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE

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Compliance Resource Database Design

[META]

● Some database projects start with “I need.” Most start with “I don't know.”

● Databases and applications are joined at the hip.

● A project planning approach should be scalable and flexible.



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HYPOTHETICAL PROJECT

● Driver: Compliance managers need to better understand and access their compliance research, policies, procedures, standards, plans, records, resources, and performance data they have at their disposal.

● Solution: Provide an intranet portal through which departmental compliance, security, and risk managers can discover and analyze available compliance assets. First, we need to gather the data...

GLOBAL SCOPE● 8 months● Internal + external● $14,000

LOCAL SCOPE● 2 months● Internal resources● No budget



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OPPORTUNITIES

Evidence basis for decisions The right information, right nowAdmin view of performance across programsCross-program efficiencies

Gap analysisStandardizationBetter resource access = Better complianceSelf-service queries = Less work for everyoneExtensibility



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CHALLENGES

Asset identification: What do we have?Structure: How should it be organized?Diverse asset typesMaintenance / currency ( )Control ( )Asset distribution vs. centralizationVolume

2

2



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CAN WE LOWER THE BARRIERS?

● Can it build on existing resources?

● Can we leverage knowledge / technology / outputs from other projects?

● If we have to build it from scratch, what other goals or projects can it benefit?



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WHO NEEDS TO BE INVOLVED?

CCO (executive sponsor)

Compliance program staffAdministrator (project sponsor, customer)

CIA (project manager)

Analysts (customers, stakeholders)

IT (DB & dev) representatives (key stakeholders)

Delegates from compliance functions at Harborview, UWMC, UWPN, Airlift Northwest, Children’s, NWHMC, UW School of Medicine, UW Physicians (UWP), clinics, UWM billing, and other impacted organizations (customers)

Legal counsel (stakeholder)

(Internal audit representative (stakeholder) )



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HOW DO WE GET THEIR BUY-IN?

● “Contributory,” not “conscriptive”● Augments existing resources and processes● Non-disruptive● Benefits: universal || value: specific● Confidentiality maintained



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BUT SHOULD WE DO IT?

● Business case (descriptive)● Solution idea (high-level)● Goals (business and technical)● Alternatives (why not them?)● Project team● Estimated costs and resources● High-level timeline

Ducks in a row, but devil's still in the details



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CHECKPOINT: GO / NO

● Aligned with current strategy?● Realistic?

● Competencies– Managerial– Operational (application and DB)

● Time● Budget● IT environment

● Best alternative?



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EXPLORATORY MEETING

● Present the project: drivers, goals, results ● Introduce team members: who and why● Refine business case, use cases, objectives● Clarify project scope● List and rank customer requirements● Address concerns● Create excitement● Confirm buy-in (hopefully)

Exploratory meetings are like proteins: They look messy, but are mighty.

Billing!

SQL!

HIPAA!



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STRENGTHEN THE PROJECT PLAN

● More explicit business case● Draft use cases

● Specific objectives & performance criteria● Key performance indicators● Key risk indicators

● Project scoping● Rough schedule● Estimated budget ● Communications/awareness● Implementation● Support/training● Maintenance

A complete picture, even if some aspects could be clearer



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SCOPING: LOCAL PROJECT

Functional System Dependcs Data Technology Orgzn Deliverables Objs/KPIs Change Mgmt

Centralized maintainance and storage of compliance assets

Identification of existing assets and gaps

Simple inter-departmental performance analysis and reporting

Asset database

Search and query application

Search and query interface

Data availability

System capacity

Related projects

Information assets within Compliance program: research, policies, procedures, standards, plans, records, resources, performance data, performance resports

[Bus object model provided]

Existing hardware, software, and network

DB (SQL), simple search/query application (php, javascript), Web interface (HTML, CSS, javascript)

Behind firewall (internal access via existing ID, roles, and permissions)

Extensible, standards-based technologies whenever possible

Compliance program admin only

Project documentation

Asset spreadsheet

Business object model

Process maps for asset creation, approval, use, updates, retirement

Map of existing assets and locations

Extension strategy

Asset catalog

Keywords

Database

Search/query application

Web interface

Identify assets (%)

Catalog assets (%)

Add assets in DB (%)

Discover “lost” assets (#)

Reduce asset searching time (# hrs/mo)

0 redundant assets (+/- goal)

0 obsolete assets (+/- goal)

Asset gaps documented (#)

Better performance data tracking (# hrs/mo on reporting)

Change tracking.

Managerial review/ approval for changes that impact production systems or processes



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SCOPING: GLOBAL PROJECT

Functional System Dependcs Data Technology Organizn Deliverables Objs/KPIs Change Mgmt

Centralized storage of compliance assets

Identification of existing assets and gaps

In-depth departmental compliance performance reporting

Intradepart-mental performance analysis and reporting

Asset database

Search and query application

Query interface

Administrative interface

Dashboard

Supplemental role/group db (coupled to global IAM)

Analytical application

Report templates

Data availability

System capacity

Related projects

Existing work tools and processes

Ability to couple new roles/groups elements with global IAM (if necessary)

Information assets within Compliance program: research, policies, procedures, standards, plans, records, resources, performance data, performance resports

[Bus object model provided]

App server, Web server, APIs, integration layers, aggregation layers

DB (SQL), simple search/query application (php, javascript), Web interface (HTML, CSS, javascript)

Behind firewall

Existing Ids, augmented roles, groups, and permissions

Standards: configuration, programming, database, interface design

Unit and system testing by user committee

Participating compliance functions across UWM units

● Org 1● Org 2● Org 3● ...

Project documentation

Asset tracking spreadsheet & maps

Business object model

Standardized definitions, classifications, taxonomy

Process maps

Relational db

Search/query application

Reporting application & templates

Web interface

Dev PM documentation

Technical documentation

Online manual

Identify assets (%)

Catalog assets (%)

Query all assets (%)

Discover “lost” assets (#)

0 redundant assets (+/- goal)

0 obsolete assets (+/- goal)

Fill asset gaps (# new assets)

Usable system (# queries/mo, hrs use, #users)

Better performance decisions (# “live” queries, # new reports, $ costs dependent actions )

Formal change management and documentation

Change requests, review, impact, approval documented for all non-routine changes

Project PM included in dev CM processes



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TECHNOLOGY PLAN

DESIGN

TECH REQUIREMENTS

IMPLEMENTATION/UNIT TESTING

INTEGRATION TESTING

RELEASE & MAINTENANCE

- Assess existing processes- Define, generally, how data will be organized - Define development tasks and steps- Define security and privacy requirements

- Define system components and their relationships- Define the technology domain

- Define interface standards- Write a detailed functional specification*

- Build the system (database, application, interface)- Make sure component parts work properly- Make sure notable changes are documented, reviewed, and approved

- Test entire completed system, using practical scenarios - Make sure it's what we expected and wanted- Make any final tweaks and to functionality, data, and interface

- Finalize operational setup to mirror live-use environment- Last chance to tweak and catch errors- Periodically meet with end users to identify problems and - opportunities for improvement

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Project sponsor(s)

Project manager IT Customers /

delegates

PM CIT ( )

PM IT

PM IT <

CPM IT <

PM IT C( )

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CPARTICIPANTS:

SP( )SP

( )SP( )SP

( )SP( )SP

SP



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SCOPING: FEASIBILITY

Research reduces uncertainty and assumptions● Quantitative

– Compliance asset identification● Catalog of resources on known network● Broadcast email to compliance staff (subset?)● Staff (“customer”) survey

– Skills survey– Process workflow and data flows– Budget items

● Qualitative: – Asset prioritization chart– Needs survey– Wish list



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SCOPING DECISIONS

● Which requirements are critical?● What are the limiters (time, budget, capabilities,

technology)?● What are the team's highest priorities?● Which requirements represent the highest ROI?

● Hard payoff: Capital directly earned or saved● Soft payoff: Employee/customer satisfaction,

qualitative benefits



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SCHEDULE

Local Project● Calendar

● Tasks ● Deliverables● Constraints● Report due dates● Meetings

Global project● Gantt +

● Resources/responsibilities● Tasks (PERT notes)● Milestones● Deliverable lifecycles● Dependencies● (Available hours/resource)

● Critical paths● Constraints● Meetings



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SCHEDULING > GANTT +

Critical path 1Critical path 1

Critical path 2Critical path 2Process milestoneProcess milestone

Communications milestone

Communications milestone



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BUDGET & RESOURCES PLAN

Local Project● No formal budget● No additional resources

Global Project● Resources

● Application developers● Database developers● Consultants/temps/services● Software support

● Technology (hardware, licenses, etc.)

● Supplies



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COMMUNICATIONS PLAN

For simple project with local teams:● Status periods● Key communication cycles

For complex projects:● Status updates (PM ► Team)● Reporting expectations (subcommittees ◄►Team/PM)● Deliverables that require review/approval and expected responses (PM ► Team)● Team communication best practices

– Team members' contact information– PM contact for communications and conflict questions

● Communications tools and media (highlight “special” tools) ● Key communications also in project schedule



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MARKETING PLAN

● Target● (Launch campaign) ● Post-launch awareness● Feedback loops

● Costs

Messages

Materials

Channels

Success metrics{



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SUPPORT PLAN

● Training & support goals and KPIs

● Deliverables ● Unique objectives● Outlines

● Timeline● During project

– Write user manual (core + group variations)

– Write content for contextual (online) help

– Write / compile training classe materials ● At launch

– Publish user manual and contextual help● One month after launch

– Group classes (tailored by group)

– One-on-one training, as needed● 3 and 12 months after launch: Review and

maintanance survey● Continual

– Phone & email support

Disclaimer: No magic brain machines.



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MAINTENANCE PLAN

● Technology maintenance● Requirements● Responsibilities● Procedures● (Schedule)

● Data maintenance● Requirements● Responsibilities● Procedures● Schedule

● Security maintenance● Workflows (if known)

● Automation / tools

● Phased upgrades included in original project scopeshould be re-evaluated and recertified at each phase



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CONTINUAL IMPROVEMENT PROCEDURE

● Team post-mortem● Customer process

and results survey● Performance-to-target analysis● Lessons learned● Recommendations for

improvement



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BACK TO PROCESS

[ breathe ]



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KICK-OFF MEETING

● All members of project team (important!)● Reintroduce (who, why)● Distribute project plan and supporting materials● Re-present project, emphasizing

● The impact of their feedback● Changes since exploratory meeting● Schedule● Risks● Importance of effective communications

● Address ALL concerns (even if to park)



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CHECKPOINT 2: RISK ASSESSMENT

● Still aligned with current strategy?● Still meets primary goal?

● Is our focus drifting?● Still realistic?

● Is our scope creeping?● Still supported by customers and sponsors?● Signficant uncertainties● Emergent risks



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Will we proceed?

Thank you!


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