PROGGEX Case Studies

Governance

The Problem
Two regionally-based clients approached PROGGEX with the need to create the framework around two specific initiatives to bring the clients into compliance with the Sarbanes Oxley Act of 2002 (SOX) and the development of standards for Electronic Medical Record (EMR) interoperability as one of the forefront items of the national health care agenda, Health Insurance Portability and Accountability Act (HIPAA), respectively.

Both initiatives had varying levels of understanding of the respective governance requirements, specifically in regards to information governance, and both had compliance deadlines that were already significantly behind schedule.

Team members were not practicing to a specific methodology due to a lack of understanding of the governance process and quality control. Furthermore, master project plans did not exist nor clear direction of roles and responsibilities. As a result, there was a lack of clear assignments, commitments to delivery dates, and inadequate documentation in some meetings, especially critical working sessions. Also, with no overall communication protocol for governance requirements to be disseminated to the appropriate departments productivity was negatively impacted.

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The Solution

The PROGGEX solution re-engineered processes to improve clarity and coordination between solution and support groups, including development and implementation of a governance structure, enforced by Project Management Office (PMO) processes and procedures.

PROGGEX identified deficient and missing IT process components relating to SOX, and established a structure of ownership and accountability, which included timely program status reports, and process and problem escalation requirements. The structure was rolled out to the various process owners in a phased approach. Internal auditors tested these processes and found them on target and acceptable with SOX compliance standards and information governance.

Additionally, PROGGEX consulted on the development of an overall master project plan. The project management plan was created that detailed a project governance structure and defined program communications, schedule management, reporting, quality assurance, project plan change control and organizational change management procedures. These solutions improved the strategic planning and implementation of the organization’s EMR initiative.

Both clients have since implemented their respective frameworks and are currently operating within compliance of their respective governance boards.