Building A Compliance Dashboard

2/20/2014Building a Compliance DashboardTips for Creating High-Level Reports forTracking Progress, Improvement andRisks for Your Compliance ProgramWhere We’re Going1. Survey the Audience2. Our Story and LessonsLearned3. Tips for presenting &explaining the data4. Technical Aspects5. Activity1

2/20/2014Participant Survey“Surveyor, 1920s" by Cat Sidh is licensed under CC BY 2.0“MG Dashboard" by Beverly Goodwin is licensed under CC BY 2.02

2/20/2014Presenting the(Mostly) TrueStory of How WeStarted theDashboard Process3

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2/20/2014“Chalkboard" by Karin Dalziel is licensed under CC BY 2.0“Caution Tape" by Eugene Zemlyanskiy is licensed under CC BY 2.06

2/20/2014Successes“Pagosa Springs Rainbow" by derekskey is licensed under CC BY 2.0“San Diego – September 2010" by Nan Palmero is licensed under CC BY 2.07

2/20/2014Technical Aspects of Creating anEffective Scorecard or DashboardQuestions you may be asking yourself if youwere asked told to develop a dashboard What did I do wrong to get this project?I’m not an I.S. person, where do I even start?Can I delegate this to anyone else?The last effective dashboard I saw was in my car,how can I possibly make one?Will this conference session make all my dashboarddreams come true?Why won’t my company just invest in a completecompliance software package that will autogenerate these dashboards?Technical Aspects – Where to Start“Life is really simple, but we insist on making itcomplicated” - Confucius Follow an existing model that worksUse a variation of the “Software Development LifeCycle”We’ll call our variation the “Dashboard/ScorecardCreation Process”8

2/20/2014Dashboard/Scorecard CreationProcess6 Steps:1.2.3.4.5.6.Requirements SpecificationReport ommunicationMaintenanceDashboard/ScorecardCreation ProcessStep 1: Requirements Specification What is the purpose of the Dashboard/Scorecard? Should I create a Dashboard or a Scorecard? Who are the stakeholders and what are their needs? Meetings and discussions Form a committee Provide examples from other sources Establish realistic expectations Explain the concept of “phases” Develop a project timeline9

2/20/2014Dashboard/ScorecardCreation ProcessStep 2: Report Design– 1 of 2 What is the purpose of the Dashboard/Scorecard? At a glance data/numbers Dashboard Performance measures Scorecard Who are the stakeholders and what are their needs? Lower Management Dashboard Upper Management Scorecard What specific items need to be included? 7 Elements of an effective compliance program Others?Dashboard/ScorecardCreation ProcessStep 2: Report Design– 2 of 2 What measurement should be used? Numbers, Percentages, Scores Timeliness of Data? Current Dashboard Periodically Scorecard What indicators should be used? Standard graphs and charts Dashboard Heat mapping, color indicators, arrows, etc. Scorecards and Dashboards10

2/20/2014Dashboard/ScorecardCreation ProcessStep 3: Implementation Putting the ‘Requirements Specifications’ and the ‘ReportDesign’ together. Suggestion to start simple using a spreadsheet for a timeperiod. Why? More complex, experienced options: Tableau, Cognos,Crystal Reporting, etc. Create a Scorecard first, then a dashboard. Scorecards willoften lead to better dashboards.Dashboard/ScorecardCreation ProcessStep 4: Testing/Validation Validate the data used to create the report Data accuracy Timeliness of receiving the data Test/Review with stakeholders the report Are their needs met? Ask for feedback on what can be improved Are there changes needed? If so, repeat steps 1, 2, and 3 if needed.11

2/20/2014Dashboard/ScorecardCreation ProcessStep 5: Deployment/Communication Communication of Reports Various stakeholders with various methods ofcommunication. Should you push for standardizedmethods or allow individualized communication?Sharing Reports Reports shared with other Regions?Provide additional and appropriate information along withthe report Anticipate questions and attempt to answer incommunications Be prepared to validate data with stakeholders Where data is coming from Who provides the dataDashboard/ScorecardCreation ProcessStep 6: Maintenance Determine responsibilities of report Who provides the data? Who collects the data? Who scores the data for Scorecards? Who creates the final report? How often can changes to the report occur? Improving the report Is automation an option with the data? Start the I.S. project process12

2/20/2014Dashboard ExampleCompliance Element: Auditing (External Agencies)Dashboard ExampleCompliance Element: Auditing (External Agencies) What did it take to create this dashboard? Used the 6Steps in the Dashboard/Scorecard Creation Process1.Requirements Specificationa. Defined purpose and reviewed stakeholders needsb. Verified all required data was available. Knew where toget the data and how to retrieve it.2.Report Designa. Determined a dashboard was neededb. Design drafted in spreadsheet first.3.Implementationa. Worked with I.S. to see what reporting tool best fit theneeds of stakeholders and started that process.13

2/20/2014Dashboard ExampleCompliance Element: Auditing (External Agencies) What did it take to create this dashboard? Used the 6Steps in the Dashboard/Scorecard Creation Process4.Testing/Validationa. Went through various versions and steps 1-2 repeatedmultiple times5.Deployment/Communicationa. Required to create a quick start guide for using thereporting tool6.Maintenancea. Currently on phase III and the dashboard keepsgetting better.Scorecard ExampleCompliance Element: All14

2/20/2014Scorecard ExampleCompliance Element: All What did it take to create this scorecard? Used the 6Steps in the Dashboard/Scorecard Creation Process1. Requirements Specificationa. Defined purpose and reviewed stakeholders needsb. Verified all required data was available. Knew where toget the data and how to retrieve it.2.Report Designa. Determined a scorecard was neededb. Design drafted in spreadsheet and currently inspreadsheet.3.Implementationa. Decided since the data was only provided periodicallyand that conditional formatting was needed, it wouldstart as a very manual process.Scorecard ExampleCompliance Element: All What did it take to create this scorecard? Used the 6Steps in the Dashboard/Scorecard Creation Process4.Testing/Validationa. Went through various versions and steps 1-2 repeatedmultiple times5.Deployment/Communicationa. Email, during meetings, etc.6.Maintenancea. Currently on version 6 and now provide two differentviews of the scorecard.15

2/20/2014Scorecard Version 2 ExampleCompliance Element: AllActivity: Creating a ScorecardProvider: Intermountain Medical CenterTiming of Data: QuarterlyOverall Score: 4.3ElementData SourceScoring DetailsScoreCompliance OfficerReportNo 1Yes 5Policy Team 70% 1 70% 2.33 80% 3.67 90% 53.67Education Dept.Reports 99.29% 1 99.29% 2.33 99.49% 3.67 99.69% 53.67Reports fromIncidentManagement App. 40 days 1 40 days 2.33 35 days 3.67 30 days 55Compliance StructureDevelop a facilitycompliance committee5Policies & ProceduresConfirmation that newpolicies were distributed toappropriate employeesEducation & Training% of employees thatcompleted mandatorycompliance educationReporting & Investigation# of days it took to closecompliance related incidentcases16

2/20/2014Next Steps“Footsteps" by Sheaak is licensed under CC BY-ND 2.017

2/20/2014 10 Dashboard/Scorecard Creation Process Step 2: Report Design– 1 of 2 What is the purpose of the Dashboard/Scorecard? At a glance data/numbers Dashboard Performance measures Scorecard Who are the stakeholders and what are their needs? Lower Management Dashboard Upper Management Scor