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Health Care Workflow Process
Improvement
Maintaining and Enhancing
Improvements
Lecture b
This material (Comp 10 Unit 11) was developed by Duke University, funded by the Department of Health and
Human Services, Office of the National Coordinator for Health Information Technology under Award
Number IU24OC000024. This material was updated by Normandale Community College, funded under
Award Number 90WT0003.
This work is licensed under the Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International
License. To view a copy of this license, visit http://creativecommons.org/licenses/by-nc-sa/4.0/
Maintaining and Enhancing
Improvements
Learning Objectives
• Work with practice staff to develop a set of
plans to keep the practice running (to the
extent necessary and practical) if the EHR
system fails
• Work with practice staff to evaluate the
new processes as implemented and
identify problems and changes that are
needed
2
Business Continuity Plan
3
Source: Wikimedia, 2012
What is Affected When an EHR is
Down?
• Receipt of lab results via electronic
interface,
• Clinical decision support,
• Routing of prescription refills
• Electronic storage of entered clinical
documentation,
• Appointment call reminders, and
• Transmitting health information
4
BCP for EHR Downtime
• Business continuity planning for EHR
downtime is the systematic inventory of
EHR-facilitated processes and
contingency planning for each.
• Real-time clinical care
• Care follow-up activities
• Getting data into the EHR
5
Business Continuity
• Business Continuity Plan
• BCP Team
• BCP Objectives
• BCP Goals
• Essential Functions
• Critical Processes
• Exercises for Success
6
BCP Team
Source: Wikimedia, 2012
• Assemble Core Team
to oversee BCP
development
• Identify BCP
Points-of-Contact
for organizational units
• Define the overarching
BCP program
• Develop a BCP
timeline
7
BCP Plan Objectives
• Ensure continuous performance of an organization’s
mission-essential functions in an emergency
• Ensure safety of employees
• Protect essential equipment, records, and other assets
• Reduce disruptions to operations
• Minimize damage and losses
• Achieve an orderly recovery from emergency operations
• Identify alternate locations and ensure operational and
managerial requirements are met before an emergency
occurs.
8
Key BCP Plan Goals
• Essential organizational functions, vital systems,
data and information identified and prioritized
• Critical elements are capable of being recovered
quickly to resume operations
• People know who is in charge
• Back-up personnel are trained
• Alternate work locations are predefined
• Checklists are predefined to guide the
organization in responding to an emergency
9
Critical Processes
• Processes or services that must be
recovered within 24 hours after a
disruption to ensure resumption of the
essential function
• Includes all resources necessary to carry
out the critical process:
– Personnel
– Data or vital records
– Systems and equipment
10
Essential Functions
• Functions that must be performed to achieve the
organization’s mission
• Essential Functions include:
– Communications
– Vital Records, Systems and Equipment
– Key Personnel
– Alternate Work Sites
– Testing, Training & Exercises
– Personnel
– Data or vital records
– Systems and equipment 11
Exercising the Downtime Plan
• Exercises are events that allow participants to
apply their skills and knowledge to improve
operational readiness
• Goal of exercises is to prepare for a real incident
involving EHR Downtime Plan activation
• Three types of exercises:
– Tabletop
– Functional
– Full-scale
12
Maintaining and Enhancing
Improvements
Summary
• Monitoring processes to maintain
performance gains
• Continuing to improve process
performance
• Contingency planning for EHR downtime
– providing patient care when the EHR is down
– maintaining availability of health information to
providers and patients in major emergencies
13
Maintaining and Enhancing
Improvements
References – Lecture b
References
No references were used in this lecture.
Images
Slide 4: Ikeda, Masaki. 2008. Lightening at Saitama [Creative Commons]. Retrieved from
http://commons.wikimedia.org/wiki/File:Thunder_at_Saitama.jpg
Slide 4: Pedneault, Sylvain . 2006. A fire in Massueville [Creative Commons]. Retrieved from
http://en.wikipedia.org/wiki/File:FirePhotography.jpg
Slide 4: Tegtmeier, Steve. Union City Oklahoma [Creative Commons]. Retrieved from
http://commons.wikimedia.org/
Slide 8: FEMA Community Relations Team (CR) in a meeting in Georgia. [Public domain] Retrieved
from http://commons.wikimedia.org/
14
Maintaining and Enhancing
Improvements
Lecture b
This material was developed by Duke
University, funded by the Department of
Health and Human Services, Office of the
National Coordinator for Health Information
Technology under Award Number
IU24OC000024. This material was updated
by Normandale Community College, funded
under Award Number 90WT0003.
15

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Comp10 unit11b lecture_slides

  • 1. Health Care Workflow Process Improvement Maintaining and Enhancing Improvements Lecture b This material (Comp 10 Unit 11) was developed by Duke University, funded by the Department of Health and Human Services, Office of the National Coordinator for Health Information Technology under Award Number IU24OC000024. This material was updated by Normandale Community College, funded under Award Number 90WT0003. This work is licensed under the Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License. To view a copy of this license, visit http://creativecommons.org/licenses/by-nc-sa/4.0/
  • 2. Maintaining and Enhancing Improvements Learning Objectives • Work with practice staff to develop a set of plans to keep the practice running (to the extent necessary and practical) if the EHR system fails • Work with practice staff to evaluate the new processes as implemented and identify problems and changes that are needed 2
  • 4. What is Affected When an EHR is Down? • Receipt of lab results via electronic interface, • Clinical decision support, • Routing of prescription refills • Electronic storage of entered clinical documentation, • Appointment call reminders, and • Transmitting health information 4
  • 5. BCP for EHR Downtime • Business continuity planning for EHR downtime is the systematic inventory of EHR-facilitated processes and contingency planning for each. • Real-time clinical care • Care follow-up activities • Getting data into the EHR 5
  • 6. Business Continuity • Business Continuity Plan • BCP Team • BCP Objectives • BCP Goals • Essential Functions • Critical Processes • Exercises for Success 6
  • 7. BCP Team Source: Wikimedia, 2012 • Assemble Core Team to oversee BCP development • Identify BCP Points-of-Contact for organizational units • Define the overarching BCP program • Develop a BCP timeline 7
  • 8. BCP Plan Objectives • Ensure continuous performance of an organization’s mission-essential functions in an emergency • Ensure safety of employees • Protect essential equipment, records, and other assets • Reduce disruptions to operations • Minimize damage and losses • Achieve an orderly recovery from emergency operations • Identify alternate locations and ensure operational and managerial requirements are met before an emergency occurs. 8
  • 9. Key BCP Plan Goals • Essential organizational functions, vital systems, data and information identified and prioritized • Critical elements are capable of being recovered quickly to resume operations • People know who is in charge • Back-up personnel are trained • Alternate work locations are predefined • Checklists are predefined to guide the organization in responding to an emergency 9
  • 10. Critical Processes • Processes or services that must be recovered within 24 hours after a disruption to ensure resumption of the essential function • Includes all resources necessary to carry out the critical process: – Personnel – Data or vital records – Systems and equipment 10
  • 11. Essential Functions • Functions that must be performed to achieve the organization’s mission • Essential Functions include: – Communications – Vital Records, Systems and Equipment – Key Personnel – Alternate Work Sites – Testing, Training & Exercises – Personnel – Data or vital records – Systems and equipment 11
  • 12. Exercising the Downtime Plan • Exercises are events that allow participants to apply their skills and knowledge to improve operational readiness • Goal of exercises is to prepare for a real incident involving EHR Downtime Plan activation • Three types of exercises: – Tabletop – Functional – Full-scale 12
  • 13. Maintaining and Enhancing Improvements Summary • Monitoring processes to maintain performance gains • Continuing to improve process performance • Contingency planning for EHR downtime – providing patient care when the EHR is down – maintaining availability of health information to providers and patients in major emergencies 13
  • 14. Maintaining and Enhancing Improvements References – Lecture b References No references were used in this lecture. Images Slide 4: Ikeda, Masaki. 2008. Lightening at Saitama [Creative Commons]. Retrieved from http://commons.wikimedia.org/wiki/File:Thunder_at_Saitama.jpg Slide 4: Pedneault, Sylvain . 2006. A fire in Massueville [Creative Commons]. Retrieved from http://en.wikipedia.org/wiki/File:FirePhotography.jpg Slide 4: Tegtmeier, Steve. Union City Oklahoma [Creative Commons]. Retrieved from http://commons.wikimedia.org/ Slide 8: FEMA Community Relations Team (CR) in a meeting in Georgia. [Public domain] Retrieved from http://commons.wikimedia.org/ 14
  • 15. Maintaining and Enhancing Improvements Lecture b This material was developed by Duke University, funded by the Department of Health and Human Services, Office of the National Coordinator for Health Information Technology under Award Number IU24OC000024. This material was updated by Normandale Community College, funded under Award Number 90WT0003. 15

Editor's Notes

  1. Welcome to Health Care Workflow Process Improvement, Maintaining and Enhancing Improvements. This is lecture b.
  2. Objectives for lecture are to: Work with practice staff to develop a set of plans to keep the practice running (to the extent necessary and practical) if the EHR system fails, and Work with practice staff to evaluate the new processes as implemented and identify problems and changes that are needed.
  3. Business continuity or disaster planning may seem like an odd topic to pair with maintaining and improving processes. But all three topics are about designing and maintaining a process that delivers the best possible care. That care and health information is especially needed in times of disaster, e.g., pandemic or natural disaster, when it may be the hardest to keep a practice running, and that care and health information is still needed, even if the practice itself is having difficulty, e.g., a computer system crash, local power outage, or unexpected extended absence of one or more key providers, etc. When you think about it, business continuity planning is about maintaining core processes under emergency or adverse conditions, or in the absence of normal operating resources. The Business Dictionary defines the Business Continuity Plan as a: “Set of documents, instructions, and procedures which enable a business to respond to accidents, disasters, emergencies, and/or threats without any stoppage or hindrance in its key operations.” It provides guidance for times when the organization experiences loss of use of its facility, loss of its vital equipment and systems, and/or loss of key personnel. While practices should consider Business Continuity and Emergency Planning in the broader sense, here, we are concerned with planning necessary to provide quality care when the EHR system is down.
  4. What is affected when an EHR goes down? In short, everything that the EHR automates. As described in Unit 6 – Process Redesign leveraging EHRs automates clinic processes, for example, receipt of lab results via an electronic interface, notifications when patients are due for screening tests and other clinical decision support, routing of prescription refills for physician approval, electronic storage of entered clinical documentation, calls to patients to remind them of upcoming appointments, and transmitting health information to another provider with a referral. Any parts of clinic processes that rely on the EHR for partial or total automation will not function for the time the EHR is down.
  5. Business continuity planning for EHR downtime is the systematic inventory of EHR-facilitated processes and contingency planning for each. By contingency planning, we mean figuring out exactly how the process will work in the absence of the EHR, including both real-time patient care, after the fact follow-up, and getting the documentation reflecting the encounter into the EHR. Some EHR facilitated processes will be easy, e.g., receipt of prescription refill requests – a possible scenario is that the sending system will detect a receipt failure and route via agreed back-up mechanism (maybe fax) instead. Following this scenario the practice, having planned ahead will know to expect and respond to the faxes until the system is back up. Further, the sending system will know not to send electronically what was faxed and responded to by the practice and WILL resend electronically once the system is up what was faxed and NOT responded to by the practice. This is an example of an EHR system downtime contingency plan for one EHR facilitated process. The EHR Downtime plan consists of a similar plan for EVERY EHR facilitated process. Many of the processes may require paper data collection forms or worksheets, e.g., data collection sheets to use in encounters that, as best as possible, help clinicians identify things that would be alerted by the EHR, possibly using patient prompts such as, I see that you are over 40, “when was your last mammogram?” In the next few slides, we’ll discuss contents of a BCP and a framework for how a practice might go about creating one.
  6. Business continuity planning is the task of identifying, developing, acquiring, documenting, and testing that will ensure the continuity of the organization’s key operations in the event of an accident, disaster and/or threat. It involves reducing possibility of the occurrence of adverse events and ensuring continued operation in the aftermath of a disaster. In other words, it is the effort to assure that the capability exists to continue essential functions across a wide range of potential emergencies. Business continuity planning consists of: Developing the Business Continuity Plan, Forming a BCP Team to write the plan and in some cases to be activated in case of an emergency, Identifying the BCP Objectives, Defining the BCP Goals, Identifying Essential Functions and Critical Processes that must be restored for the organization to resume operations after the event, and Developing Exercises and a timetable for testing the plan to ensure that all perform as expected in the case where the BCP needs to be activated. Hopefully, every practice that you work with will have a BCP and the EHR downtime plan can become a component of that larger plan. If not, you may be introducing practice leadership and staff to the concept of business continuity planning.
  7. An initial step is to assemble a Core Team to oversee BCP development, identify Points-of-Contact for organizational units, define the overarching BCP program, and develop a BCP timeline for implementation. Often this same team is expanded to direct the implementation and continued testing of the plan.
  8. The overarching objective of a business continuity plan, as in the specific case of an EHR downtime plan, is to plan for an event BEFORE it occurs so that when it does, everyone knows what to do and has everything they need for safe and effective operation. Typical objectives of BCP plans include: Ensuring continuous performance of an organization’s essential functions in an emergency, and in health care – patient safety Protecting essential equipment, records, and other assets, Reducing disruptions to operations, Minimizing damage and losses, - including loss of health information Achieving an orderly recovery from emergency operations, and Identifying alternate locations and ensuring operational and managerial requirements are met before an emergency occurs.
  9. Key goals will likely include: Essential organizational functions, vital systems, data and information identified and prioritized, Critical elements are capable of being recovered quickly to resume operations, - i.e., processes are defined and established and staff are trained on them. Job aids such as worksheets are readily available so that staff can switch to the “downtime process” on a moments notice. People know who is in charge, Back-up personnel are trained, Alternate work locations are predefined, and Checklists are predefined to guide the organization in responding to an emergency.
  10. Critical processes are usually defined as those processes or services that must be recovered within 24 hours after a disruption to ensure resumption of the essential function. They include all resources necessary to carry out the critical process: Personnel, Data or vital records, and Systems and equipment.
  11. Essential functions are functions that MUST be performed to achieve the organization’s mission. Some examples of essential functions to address include: Communications, Vital Records, Systems and Equipment, Key Personnel, Alternate Work Sites, and Testing, Training & Exercises. In a practice, in the face of a natural disaster, providing patient care may not be essential. However, maintaining availability of patient’s health information so that it is available to other providers probably is. Thus, EHR downtime plans should account for how information will be accessible to practice providers who may need to provide it to other providers, accessible to patients themselves, or accessible to other providers. Having data storage and hosting redundancy or a hosted patient portal with similar features would help accomplish this, as would participating in a health information exchange.
  12. Without proper testing, the downtime plan may fail you when you need it the most. Exercises, like fire drills, are events that allow participants to apply their skills and knowledge to improve operational readiness. The goal of the exercises is to prepare for a real incident involving an EHR downtime plan activation. There are three types of exercises, Tabletop exercise involves practice staff and leadership talking through a downtime event from start to finish – who, what, when where how does everything get done Functional exercise is a walk through where a process is tested Full-scale exercise is a simulated event, e.g., on a Saturday, where there are pretend patients (family members for example), and clinic staff and leadership start with the EHR, then pretend it goes down and they resume operations according to the downtime plan like it were real. Exercises are usually followed by after action reviews such as those done in the military where everyone involved talks through what happened, what went well and what went poorly – notes are taken so that the downtime plan is improved. Another method is called a Time Out Of Time, or TOOT, where during the functional or full scale exercise, at regular intervals someone calls “time” and everyone takes one or two minutes and jots down notes about what is working well and what is not working well so that the information is captured as it is happening; this information is then discussed in the after action review.
  13. This concludes Maintaining and Enhancing Improvements. In this lecture we covered: Maintaining the performance gains achieved with the redesigned process, i.e., Process Control Continuing to improve the redesigned process and other practice processes, Continuous Quality Improvement (CQI), and Keeping the practice operational, or perhaps, in extreme emergencies, just keeping people’s health records available for emergency services, in the event of natural disasters, pandemic, but primarily focused on EHR downtime planning.
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