2007 Annual Conference “Using State-of-the-Art Technology in Case Management - From Inspections to Disciplinary Actions” Rhoda Gerard Syntapa Technologies Inc.
Download ReportTranscript 2007 Annual Conference “Using State-of-the-Art Technology in Case Management - From Inspections to Disciplinary Actions” Rhoda Gerard Syntapa Technologies Inc.
2007 Annual Conference “Using State-of-the-Art Technology in Case Management - From Inspections to Disciplinary Actions” Rhoda Gerard Syntapa Technologies Inc. Agenda • • • • • • • • What are the Issues? State-of-the-Art Technology Case Management From Complaints to Adjudication Citizen Access Optimizing Staff Time Promoting Regulatory Excellence Q&A Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Most Prevalent Issues • Case File Administration Requirements – Searching, Gathering, Verifying and Recording Data – Staff Communications • Lack of Visibility and Ease of Access – Constituent Individual/Organization Top-down View – Case File View – Program View Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia The Issues Continued • Silos of Information – same information kept in more than one place • Stand-alone Business Application Systems – No unique constituent identifiers – Duplicated data • External Reporting Requirements Resource Demands Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia The Issues Go On • Case File Hand-Over Resource Requirements • Supporting Field Staff – Case File Information – Investigation/Compliance Review Reports – Policies & Standards Reference Material – Related Documents • Management Review Process Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia And On • Scheduling – Staff Resources, Panel meetings, Hearings, • Performance Reporting • Case Costing Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia State-of-the-Art Technology Shared Data Repository Shared Document Repository Business Process Management Communications & Collaboration Integrated Desktop Applications Search – Information Access Existing Systems Integration Mobility Support Reporting & Accountability Self-Service Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Key Selection Criteria! • Commercial-off-the-Shelf (COTS) Webbased Case Management Applications Software • Technology Leader – R&D: $7 Billion/Year • Adaptable & Flexible • Familiar (Semantics) and Easy to Use • Easy Access – Anytime, Anyplace & Anywhere • Integrated Applications – Single Point Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management • Life-cycle (Start to End) Tracking • Issue – Incident Related: – Public Complaints, General Investigations – Hearings, Adjudication, Appeals – Monitoring & Enforcement • • • • Compliance Reviews Certification/Registration Accreditation Governance Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Structure of a Case Management File • Myriad of Documents • The “Involved” Individuals & Organizations – Related Information, cases and roles • Structured Case Management Data – Products/Services …. Unexpected Outcome – Issues/Allegations ….. Deficiencies/Findings – Enforcement .. Undertakings, Orders, • Business Process Rules & Procedures Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Document/Records Management • • • • • • • Highest % of a Case File’s Composition Internal & External Document Types Handling of Hard Copies Internal Document Creation Control Constituent & Case File Links Document Process Flows Document Access Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Constituent Management • Case Parties -Individual & Organizations • Ready Access to their Information – “Current Snapshot” Profiles – Detailed Information Records • Process Tracking – their involvement in process activities, decisions and key events • Monitoring/Enforcement Requirements Tracking Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case File Initiation • • • • • Correspondence – snail mail, fax, email Call Meeting Staff Web Self-Service Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Web Self-Service Case Initiation • Data Input – applicants, those regulated, the public • Real-time database interaction • Automated creation of the case file • Automated check – do we have this constituent in the database? • Staff notification Complaints Notification Example Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case File – Staff Notification • Ticklers – To do’s List • Email Notification with a Case File Reference • System Alerts – Scheduled Tasks • Subscribed Reports Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case File Information Components • Case File General Information • Case File Process Tracking – Activities, Tasks – Issues & Allegations – Decisions (reasons) & Key Events • Incident/Issue Related Information – Products/Services – Unexpected or Abnormal Outcome Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case File Information Components • Monitoring/Enforcement Requirements – Type: Undertaking, Settlement Agreement, Interim Order; Discipline Order – Requirements Information: what, by when, details • • • • Time Reporting – Process Activities $$$s Reporting Related Documents – 2 Levels Related Cases Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Business Process Management • Level 1 Flow – Program Functions – Flexible & Adaptable to Your Organization Complaint Investigation Adjudication/ Hearing Monitoring & Enforcement Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Level 2 Flow & Level 3 Tasks Complaint Mail Call On-line · · · · · · Intake Process Accept Receive complaint Acknowledge receipt No Forward file Receive response Review file Complaint disposition letter Yes Formal Complaint · Forward complaint · Receive response · Record incident details · Record issues · Schedule meeting · Meeting Disposition · · · · No further action Resolved Abandoned Proceed to investigation Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Business Process Automation • Triggered Next Steps in the Process – Next Activity or Task within the same Process – Next Processing Stage and Initial Activity – Case Party Defaults By When Date • New Case File Creation/Hand-over • Triggered Database Updates – Close processing stage/file – Database Record Updates (Monitoring Requirements status updates) – Staff Notification Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Business Process Automation • Triggered template outputs – for review and distribution with automated document links • Investigation & Compliance Review Forms Generation with automated document links and staff notification • Review/Approvals Document Process Tracking • Automated Submission of Findings Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Business Process Automation • Triggered Case and Constituent Individuals and Organization Information Records for Review and Update • Case Staff Time Reporting – Assigned cases and activities – Off-line timesheets and automated submission • Scheduling – use of Outlook Calendars • Maps – Instructions • Internet Web-site Links Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management – Information Management • Case File Information – Case Profile with its navigation links – Ready Access to Case Party Information Profiles – Detailed Information Records – Document Links and Log – Related Case File Links – Financial & Time Logs Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Case Management Reports • Subscriptions Service • Export Formats – Excel, PDF, .. • Program (Case Management Application) Performance Reports – Time to Closure – Incoming versus Outgoing • Statistical Reports – Case Party Involvement, Activities, Dispositions, Issues, Monitoring Requirements, .. Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Security • • • • Personal Information – search, display Identity Encryption Confidential data – unlisted addresses, case file information • Information access Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia From Complaints to Adjudication Presentation Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Citizen Access • Search – ease of use – Regulated Persons – by Name, City, Phone Number, Specialty – Regulated Facilities – Name “find text” search; City • Results Display • Public Information Report & Documents Display • Public Complaints Reporting Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Regulated Constituents Self-Service • Information Updates – Address Changes – Disclosure Questionnaires – Questionnaire Surveys • • • • On-line Payments Renewal Process – Business Rules Events Registration Public Information Report & Documents Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Citizen Access Screen Shots Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Optimizing Staff Time • Eliminate Un-needed Data Entry – Extranet Self-Service – Automated Case File Creation & Notification – Unstructured Data to Structured • Template Outputs – Word, Reports • Shared Data & Documents Repository • Anytime, Anyplace & Anywhere Access Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Optimizing Staff Time • Off-line Applications – forms, reference documents, timesheets, new documents • Automated transfer to your data and document repository • Structured Processes with case party defaults, triggered next steps, templates • Documents linked to Process activities and decisions/key events Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Optimizing Staff time • Scheduling & Maps • Effective Communications & Collaboration Tools • Public Extranet Access To Information – Search for Regulated Constituents – Public Structured & Unstructured Information – Hearings Schedule • “Familiar” and “Easy-to-Use” Applications Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Promoting Regulatory Excellence • Real-time Extranet Access • Shared Data and Documents Repository • Structured Processes, Data & Documents – Consistency, Fairness, Timeliness • Pro-active Data Mining – Protect the Public through Education • Allocation of Resources where the Risks are the Greatest Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia Speaker Contact Information Rhoda Gerard CMA, CMC, CIRM CEO & Unified Business Systems Consultant Syntapa Technologies Inc. 200 – 320 March Road Kanata, ON K2K 2E3 613-591-7644 X 223 [email protected] Council on Licensure, Enforcement and Regulation 2007 Annual Conference Atlanta, Georgia