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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
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.
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
CHALLENGES
Asset identification: What do we have?Structure: How should it be organized?Diverse asset typesMaintenance / currency ( )Control ( )Asset distribution vs. centralizationVolume
2
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Compliance Resource Database Design
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?
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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) )
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
HOW DO WE GET THEIR BUY-IN?
● “Contributory,” not “conscriptive”● Augments existing resources and processes● Non-disruptive● Benefits: universal || value: specific● Confidentiality maintained
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
CHECKPOINT: GO / NO
● Aligned with current strategy?● Realistic?
● Competencies– Managerial– Operational (application and DB)
● Time● Budget● IT environment
● Best alternative?
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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!
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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
Presentation for: UW Medicine ComplianceDate: 20 June 2011 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
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Compliance Resource Database Design
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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Compliance Resource Database Design
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 /
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CPARTICIPANTS:
SP( )SP
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Compliance Resource Database Design
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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Compliance Resource Database Design
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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Compliance Resource Database Design
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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Compliance Resource Database Design
SCHEDULING > GANTT +
Critical path 1Critical path 1
Critical path 2Critical path 2Process milestoneProcess milestone
Communications milestone
Communications milestone
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Compliance Resource Database Design
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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Compliance Resource Database Design
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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Compliance Resource Database Design
MARKETING PLAN
● Target● (Launch campaign) ● Post-launch awareness● Feedback loops
● Costs
Messages
Materials
Channels
Success metrics{
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Compliance Resource Database Design
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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Compliance Resource Database Design
CONTINUAL IMPROVEMENT PROCEDURE
● Team post-mortem● Customer process
and results survey● Performance-to-target analysis● Lessons learned● Recommendations for
improvement
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Compliance Resource Database Design
BACK TO PROCESS
[ breathe ]
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Compliance Resource Database Design
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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Compliance Resource Database Design
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!