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  • 1. Type: Presentation 1 Pages: 40 Classification: Restricted COMPLIANCE RESOURCE DATABASE PROJECTPRESENTATION TITLE A PRESENTATION FOR UW MEDICINE COMPLIANCE 1 Presentation for: UW Medicine Compliance CASS BREWER Date: 20 June 2011 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 2. [META]TITLE Compliance Resource Database Design ● Some database projects start with “I need.” Most start with “I dont know.” ● Databases and applications are joined at the hip. A project planning approach should beBODY ● scalable and flexible. Presentation for: UW Medicine Compliance Page 2 CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 3. HYPOTHETICAL PROJECTTITLE Compliance Resource Database Design ● Driver: Compliance managers need to better LOCAL SCOPE understand and access their compliance ● 2 months research, policies, procedures, standards, ● Internal resources plans, records, resources, and performance ● No budget data they have at their disposal. GLOBAL SCOPEBODY 8 months Solution: Provide an intranet portal through ● ● which departmental compliance, security, ● Internal + external and risk managers can discover and analyze ● $14,000 available compliance assets. First, we need to gather the data... Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 4. OPPORTUNITIESTITLE Compliance Resource Database Design Evidence basis for decisions The right information, right now Admin view of performance across programs Cross-program efficiencies Gap analysisBODY Standardization Better resource access = Better compliance Self-service queries = Less work for everyone Extensibility Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 5. CHALLENGESTITLE Compliance Resource Database Design Asset identification: What do we have? Structure: How should it be organized? Diverse asset types Maintenance / currency ( ) 2 Control ( ) 2BODY Asset distribution vs. centralization Volume Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 6. CAN WE LOWER THE BARRIERS?TITLE Compliance Resource Database Design ● Can it build on existing resources? ● Can we leverage knowledge / technology / outputs from other projects?BODY ● If we have to build it from scratch, what other goals or projects can it benefit? Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 7. WHO NEEDS TO BE INVOLVED?TITLE Compliance Resource Database Design CCO (executive sponsor) Compliance program staff Administrator (project sponsor, customer) CIA (project manager) Analysts (customers, stakeholders) IT (DB & dev) representatives (key stakeholders)BODY 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 Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 8. HOW DO WE GET THEIR BUY-IN?TITLE Compliance Resource Database Design ● “Contributory,” not “conscriptive” ● Augments existing resources and processes ● Non-disruptive ● Benefits: universal || value: specific ● Confidentiality maintainedBODY Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 9. BUT SHOULD WE DO IT?TITLE Compliance Resource Database Design ● Business case (descriptive) ● Solution idea (high-level) ● Goals (business and technical) ● Alternatives (why not them?) ● Project teamBODY ● Estimated costs and resources ● High-level timeline Ducks in a row, but devils still in the details Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 10. CHECKPOINT: GO / NOTITLE Compliance Resource Database Design ● Aligned with current strategy? ● Realistic? ● Competencies – Managerial – Operational (application and DB) TimeBODY ● ● Budget ● IT environment ● Best alternative? Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 11. EXPLORATORY MEETINGTITLE Compliance Resource Database Design ● Present the project: drivers, goals, results ● Introduce team members: who and why ● Refine business case, use cases, objectives ● Clarify project scope SQL! Billing! HIPAA! ● List and rank customer requirementsBODY ● Address concerns ● Create excitement ● Confirm buy-in (hopefully) Exploratory meetings are like proteins: They look messy, but are mighty. Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 12. STRENGTHEN THE PROJECT PLANTITLE Compliance Resource Database Design ● More explicit business case ● Draft use cases ● Specific objectives & performance criteria ● Key performance indicators ● Key risk indicators ● Project scoping ● Rough scheduleBODY ● Estimated budget ● Communications/awareness ● Implementation ● Support/training ● Maintenance A complete picture, even if some aspects could be clearer Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 13. SCOPING: LOCAL PROJECTTITLE Compliance Resource Database Design Functional System Dependcs Data Technology Orgzn Deliverables Objs/KPIs Change Mgmt Centralized Asset Data Information Existing Compliance Project Identify assets Change tracking. maintainance database availability assets within hardware, program admin documentation (%) and storage of Compliance software, and only Managerial compliance Search and System program: network Asset Catalog assets review/ approval assets query capacity research, spreadsheet (%) for changes that application policies, DB (SQL), impact Identification of Related procedures, simple Business object Add assets in production existing assets Search and projects standards, search/query model DB (%) systems or and gaps query interface plans, records, application processes resources, (php, Process maps Discover “lost” Simple inter- performance javascript), for asset assets (#) departmental data, Web interface creation, performance performance (HTML, CSS, approval, use, Reduce asset analysis and resports javascript) updates, searching time reporting retirement (# hrs/mo) [Bus object Behind firewall model (internalBODY Map of existing 0 redundant provided] access via assets and assets (+/- goal) existing ID, locations roles, and 0 obsolete assets permissions) Extension (+/- goal) strategy Extensible, Asset gaps standards- Asset catalog documented (#) based technologies whenever Keywords Better possible performance Database data tracking (# hrs/mo on Search/query reporting) application Web interface Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 14. SCOPING: GLOBAL PROJECTTITLE Compliance Resource Database Design Functional System Dependcs Data Technology Organizn Deliverables Objs/KPIs Change Mgmt Centralized Asset database Data availability Information App server, Web Participating Project Identify assets Formal change storage of assets within server, APIs, compliance documentation (%) management and compliance Search and System capacity Compliance integration functions across documentation assets query program: layers, UWM units Asset tracking Catalog assets application Related projects research, aggregation spreadsheet & (%) Change requests, Identification of policies, layers ● Org 1 maps review, impact, existing assets Query interface Existing work procedures, ● Org 2 Query all assets approval and gaps tools and standards, plans, DB (SQL), ● Org 3 Business object (%) documented for Administrative processes records, simple ● ... model all non-routine In-depth interface resources, search/query Discover “lost” changes departmental Ability to couple performance application (php, Standardized assets (#) compliance Dashboard new data, javascript), Web definitions, Project PM performance roles/groups performance interface classifications, 0 redundant included in dev reporting Supplemental elements with resports (HTML, CSS, taxonomy assets (+/- goal) CM processes role/group db global IAM (if javascript) Intradepart- (coupled to necessary) [Bus object Process maps 0 obsolete assetsBODY mental global IAM) model provided] Behind firewall (+/- goal) performance Relational db analysis and Analytical Existing Ids, Fill asset gaps (# reporting application augmented roles, Search/query new assets) groups, and application Report templates permissions Usable system Reporting (# queries/mo, Standards: application & hrs use, #users) configuration, templates programming, Better database, Web interface performance interface decisions (# design Dev PM “live” queries, # documentation new reports, $ Unit and costs dependent system testing Technical actions ) by user documentation committee Online manual Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 15. TECHNOLOGY PLANTITLE Compliance Resource Database Design TECH REQUIREMENTS - Assess existing processes - Define, generally, how data will be organized - Define development tasks and steps PM IT C ( SP ) - Define security and privacy requirements DESIGN - Define system components and their relationships Phased development or major upgrades - Define the technology domain - Define interface standards - Write a detailed functional specification* PM IT IMPLEMENTATION/ - Build the system (database, application, interface) - Make sure component parts work properly UNIT TESTING - Make sure notable changes are documented, reviewed, andBODY PM IT < C ( SP ) approved INTEGRATION - Test entire completed system, using practical scenarios - Make sure its what we expected and wanted TESTING - Make any final tweaks and to functionality, data, and interface PM IT < C ( SP ) RELEASE & - Finalize operational setup to mirror live-use environment - Last chance to tweak and catch errors MAINTENANCE - Periodically meet with end users to identify problems and PM IT ( C SP ) - opportunities for improvement Project Project Customers / PARTICIPANTS: SP sponsor(s) PM manager IT IT C delegates Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 16. SCOPING: FEASIBILITYTITLE Compliance Resource Database Design 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 surveyBODY – Process workflow and data flows – Budget items ● Qualitative: – Asset prioritization chart – Needs survey – Wish list Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 17. SCOPING DECISIONSTITLE Compliance Resource Database Design ● Which requirements are critical? ● What are the limiters (time, budget, capabilities, technology)? ● What are the teams highest priorities? ● Which requirements represent the highest ROI?BODY ● Hard payoff: Capital directly earned or saved ● Soft payoff: Employee/customer satisfaction, qualitative benefits Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 18. SCHEDULETITLE Compliance Resource Database Design Local Project Global project ● Gantt + ● Calendar ● Resources/responsibilities ● Tasks ● Tasks (PERT notes) ● Deliverables ● Milestones ● Constraints ● Deliverable lifecycles DependenciesBODY ● ● Report due dates ● (Available hours/resource) ● Meetings ● Critical paths ● Constraints ● Meetings Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 19. SCHEDULING > GANTT +TITLE Compliance Resource Database Design Critical path 1 Critical path 1 Process Process Critical path 2 Critical path 2 milestone milestone Communications Communications milestone milestoneBODY Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 20. BUDGET & RESOURCES PLANTITLE Compliance Resource Database Design Local Project Global Project ● No formal budget ● Resources ● No additional resources ● Application developers ● Database developers ● Consultants/temps/services Software supportBODY ● ● Technology (hardware, licenses, etc.) ● Supplies Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 21. COMMUNICATIONS PLANTITLE Compliance Resource Database Design For simple project with local teams: ● Status periods ● Key communication cycles For complex projects: ● Status updates (PM ► Team) ● Reporting expectations (subcommittees ◄►Team/PM)BODY ● 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 Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 22. MARKETING PLANTITLE Compliance Resource Database Design ● ● ● Target (Launch campaign) Post-launch awareness Feedback loops { Messages Materials Channels Success metricsBODY ● ● Costs Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 23. SUPPORT PLANTITLE Compliance Resource Database Design Timeline ● Training & support ● During project goals and KPIs ● – Write user manual (core + group variations) – Write content for contextual (online) help ● Deliverables – Write / compile training classe materials ● At launch ● Unique objectives – Publish user manual and contextual help ● One month after launch ● Outlines – Group classes (tailored by group)BODY – 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. Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 24. MAINTENANCE PLANTITLE Compliance Resource Database Design ● Technology maintenance ● Security maintenance ● Requirements ● Workflows (if known) Automation / tools Responsibilities ● ● ● Procedures ● Phased upgrades included ● (Schedule) in original project scope ● Data maintenance should be re-evaluated andBODY recertified at each phase ● Requirements ● Responsibilities ● Procedures ● Schedule Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 25. CONTINUAL IMPROVEMENT PROCEDURETITLE Compliance Resource Database Design ● Team post-mortem ● Customer process and results survey ● Performance-to-target analysis ● Lessons learnedBODY ● Recommendations for improvement Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 26. BACK TO PROCESSTITLE Compliance Resource Database Design [ breathe ]BODY Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 27. KICK-OFF MEETINGTITLE Compliance Resource Database Design ● 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 meetingBODY ● ● Schedule ● Risks ● Importance of effective communications ● Address ALL concerns (even if to park) Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 28. CHECKPOINT 2: RISK ASSESSMENTTITLE Compliance Resource Database Design ● Still aligned with current strategy? ● Still meets primary goal? ● Is our focus drifting? ● Still realistic? ● Is our scope creeping?BODY ● Still supported by customers and sponsors? ● Signficant uncertainties ● Emergent risks Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE
  • 29. TITLE Compliance Resource Database Design Will we proceed?BODY Thank you! Presentation for: UW Medicine Compliance Page CASS BREWER Date: 20 June 2011 40 casscomplex@gmail.com 206-774-0183 RESTRICTIONS: INTERNAL AND CONFIDENTIAL: DO NOT DISTRIBUTE