“Using State-of-the-Art Technology in Case Management - From Inspections to Disciplinary Actions”

1. 2007 Annual Conference “Using State-of-the-Art Technology in Case Management - From Inspections to Disciplinary Actions” Rhoda Gerard Syntapa Technologies Inc.

2. 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

3. 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

4. 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

5. 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

6. And On • Scheduling – Staff Resources, Panel meetings, Hearings, • Performance Reporting • Case Costing Council on Licensure, Enforcement and Regulation

7. State-of-the-Art Technology Shared Document Repository Business Process Management Shared Data Repository Communications & Collaboration Integrated Desktop Applications Search – Information Access Existing Systems Integration Reporting & Accountability Mobility Support Self-Service Council on Licensure, Enforcement and Regulation

8. Key Selection Criteria! • Commercial-off-the-Shelf (COTS) Web-based 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

9. 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

10. Case Management Council on Licensure, Enforcement and Regulation

11. 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

12. Case Management Council on Licensure, Enforcement and Regulation

13. 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

14. Case Management Council on Licensure, Enforcement and Regulation

15. 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

16. Case Management Council on Licensure, Enforcement and Regulation

17. Case File Initiation • Correspondence – snail mail, fax, email • Call • Meeting • Staff • Web Self-Service Council on Licensure, Enforcement and Regulation

18. 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

19. 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

20. 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

21. 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

22. Case Management Council on Licensure, Enforcement and Regulation

23. Business Process Management • Level 1 Flow – Program Functions • Flexible & Adaptable to Your Organization Council on Licensure, Enforcement and Regulation

24. Level 2 Flow & Level 3 Tasks Council on Licensure, Enforcement and Regulation

25. 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

26. 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

27. 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

28. Case Management Council on Licensure, Enforcement and Regulation

29. 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

30. 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

31. Security • Personal Information – search, display • Identity • Encryption • Confidential data – unlisted addresses, case file information • Information access Council on Licensure, Enforcement and Regulation

32. From Complaints to Adjudication Presentation Council on Licensure, Enforcement and Regulation

33. 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

34. 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

35. Citizen Access Screen Shots Council on Licensure, Enforcement and Regulation

36. 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

37. 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

38. 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

39. 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

40. 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 rgerard@syntapa.com Speaker Contact Information Council on Licensure, Enforcement and Regulation