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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation And On Scheduling – Staff Resources, Panel meetings, Hearings, Performance Reporting Case Costing

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation State-of-the-Art Technology Shared Document Repository Business Process Management Mobility Support Self-Service Existing Systems Integration Integrated Desktop Applications Search – Information Access Shared Data Repository Reporting & Accountability Communications & Collaboration

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case Management

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case Management

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case Management

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case Management

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case File Initiation Correspondence – snail mail, fax, Call Meeting Staff Web Self-Service

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case File – Staff Notification Ticklers – To do’s List Notification with a Case File Reference System Alerts – Scheduled Tasks Subscribed Reports

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case Management

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Business Process Management Level 1 Flow – Program Functions –Flexible & Adaptable to Your Organization

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Level 2 Flow & Level 3 Tasks

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Case Management

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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,..

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Security Personal Information – search, display Identity Encryption Confidential data – unlisted addresses, case file information Information access

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation From Complaints to Adjudication Presentation

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Citizen Access Screen Shots

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

Atlanta, Georgia 2007 Annual Conference Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Speaker Contact Information Rhoda Gerard CMA, CMC, CIRM CEO & Unified Business Systems Consultant Syntapa Technologies Inc. 200 – 320 March Road Kanata, ON K2K 2E X 223