Government compliance and governance is Bay's exclusive business focus, it has defined the Bay team and suite of products for over 15 years. During this time we have observed a maturation of the compliance approach and systems used by regulators. As an active and initial sponsor of AELERT – the Australasian Environmental Law Enforcement Regulators Network – Bay has participated in and facilitated the trend towards evidence based regulation and compliance. Importantly, Bay's team also brings an understanding of how government regulators work, how they think, how they operate, and what is important to them.

CIRAM is a widely used Commercial off the Shelf (COTS) compliance system. CIRAM is installed exclusively in government regulatory environments and has been designed, built and enhanced in conjunction with a number of government departments over the years.

Key Aspects of CIRAM

Resource Management

Work is allocated through a team or work unit with initial assignment of new work to a work unit manager. The manager allocates to a work unit member or assigns work to another work unit. Staff who frequently work for many teams are added with roles in different work units. The work unit forms the base security structure with case access restricted to allocated work unit members.

Knowing the time and cost of activities is an important aspect of resource management. Staff administrative levels and nominal hourly rates are setup in administration this data is used when recording time spent on case work. Expenses associated with case investigation are also recorded.

A case timing report details time spent in each phase of all cases from allocation, investigation and endorsement. This is combined with case type and priority information and gives a manager insight to how long investigations are taking. Combined with time and cost reporting the manager has the tools to assist with resource management.

Running Log

Every investigation incorporates a secure running log which safeguards integrity of all information entered, it is not possible to change entries made. As well as helping to protect vital information, the running log ensures information can be called on as legally-admissible evidence.

Documents

Many documents are managed in an investigation or compliance activity, the attachment collection of each case provides categorisation of documents and version control. Documents can be created and populated with case and person data through administrable Word templates.

Support for corporate Electronic Document Records Management Systems (EDRMS) is provided through the optional DMI adapter, seamlessly storing documents in an EDRMS such as TRIM or OpenText. The user experience in CIRAM is not altered and relevant RM categorisation is applied automatically for the user.

Follow up Actions

During a case an officer may require additional assistance or wish to set future task reminders, activities provide reminders as single or recurring events allocated to work unit members. An activity can be added to the case or a document used for follow up on notices issued.

Entities

At the core of CIRAM is the entity subsystem which stores information on persons of interest, property, vehicles, licences and products. A key aspect of entities is they exist once in the system and are re-used many times, building the history of activities with each entity.

Entities can be related to each other to provide further intelligence information. The types of relationships are administrable, as relationships change over time the period and currency of relationships is also maintained.

Viewing the detail of an entity shows all associated relationships, currency of relationships, matters involved in and their role in those matters. The roles a person or company may have include witness, applicant, suspect, involved party, etc.

CIRAM holds the source of truth of the entity as it relates to regulatory matters but other systems may hold more information. Web links are provided from each entity type, accessing other systems to retrieve detailed information. Company detail data is sourced from the Australian Business Register (ABR) or could be an internal system instead.

Risk and Prioritisation

CIRAM uses a risk assessment function in its alleged offence (enforcement) process to prioritise cases. This is an administration defined objective assessment allowing creation of many categorisers with multiple criteria.

Each criterion is given a weight and selected criterion from all categories resolve to a score. The score is used to assign a priority based on a range of values qualified by the context – for example a context could be an Act, geographical location, an industry segment or even an industry participant. Note criterion weightings may be +ve or –ve allowing a very complete risk assessment process to identify existence of risks and recognise and score absence of risk or risk mitigation. This contributes to transparent, evidence based decision making in the compliance domain. This is described in more detail in the section below.

Security

Security is controlled through assigning roles to people in work units and the security system. The security system provides fine control of rights available to a role in a work unit and the case workflow state. This allows investigators to have full rights to cases in their work unit while in the investigation phase. Investigators outside of the work unit have read only access. When the case moves to endorsement, the investigators receive read only rights.

Another layer of security is applied through the optional Secured Rights module (SRSM) which adds security caveats and security clearance management.

Searching

All data in the system is available through the search screens. Each entity has a search function to assist in selecting the correct person or licence. The main search screen presents the structured data and entities in one place.

When looking for names an exact, then partial, then phonetic search is done and results ranked in exactness order. Text fields are searched using partial matching, administered drop downs are an exact search. Date searching can be either an exact date or a date range. All fields selected are ANDed together.

A free text search is provided to create complex search expressions using Boolean operators and parenthesis for expression bracketing. The search results indicate the CIRAM area of the match; a comment field, case data, attachments, activities, etc. The free text and structured searches can be used together for further refining results.

Reporting

Two types of reports are available, standard reports and user built reports. The standard reports are listed below.

  • Comparatives: Reports on outcomes from prosecution, used when determining court penalties to seek based on similar previous cases.
  • Infringements: Details of infringement notices
  • Timings: The time between each processing step in work flows and identifies average case length and common bottlenecks.
  • Volume: Rollup report on act, work unit, priority and total case load figures.
  • Volume Summary: Received and finalised cases by work unit reported using financial quarters and years.
  • Statistical: Report on Alleged Offences and compliance outcomes achieved.
  • Time and Cost: Reports on costs of resources, expenses, time spent on cases, grouped by work unit.
  • Item Detail: This report is available on the case menu and is a PDF of case detail and all related information such as running log, activities, documents and outcomes.

A report builder allows creation of reports on either an ad-hoc basis or as new business reports published for common use through the report screen. Two versions of the report builder are available; one for simple charts and tables and one for complex multi-table and multi-chart output.

All reports can be exported to Web, Excel, PDF, CSV and Word.

Reports are delivered through the Microsoft SQL Server Reporting Services (MSSRS) tool in SQL server. The type of report builder available is based on the version of SQL server.

Data Quality

Matters having similar information as incidents can be reported from many sources over time. A nightly process finds cases that match on key criteria and marks these as potential duplicates.

The format of the data is checked before a form can be submitted and includes formats for;

  • Required data
  • Minimum lengths
  • Date and time, numbers
  • Email addresses, ABN's, GPS points

November 2011 - Bay has arrived home from an exciting week in Darwin, where we co-exhibited at the AELERT 2011 Conference with partner company ICETS. This joint exhibition came off the back of our previously formed partnership agreement, and cooperative work that the two companies have been undertaking other the past few months. This gave us an opportunity to show off our latest product development - EMPIRE, on an international stage.

EMPIRE is a cloud based, tablet ready application that helps investigators generate high standard briefs that can be used to initiate prosecution, with minimal reinvestigation.

Image of Bay/ICETS stall











 

The conference was lively and offered opportunities for networking and product demonstrations. It also gave us the chance to discuss current industry trends and understand what impact external factors are having on the regualtory environment. It was very interesting to be able to get perspectives on this from international organisations such as the United States Environmental Protection Authority and the International Network for Environmental Compliance and Enforcement.

From a company perspective AELERT was a success; with many government agencies showing interest in EMPIRE and CIRAM. The central learning for the company was the very real danagers our environment faces without strong regulation.

All in all this was a really successful conference for Bay, we gained a lot from our partnership with ICETS and we hope to continue to participate in AELERT conferences in the future.

June 2011 - Bay has arrived home from a big week in Sydney where we exhibited at the CeBIT Australia 2011 Conference. Bay was fortunate enough to be chosen to exhibit on the ICT Suppliers to the Australia Government stand with six other exciting IT organisations. This gave us an unprecedented opportunity to show off our wares on a world stage. Bay was the only Queensland based company chosen to exhibit on the Australian Government Stand.

John Hardgrave being interviewed for the Rust Report



 






 


 

The conference was lively and offered many opportunities for networking, exhibiting and venturing out to view the world of emerging technologies.

From a company perspective CeBIT was a huge success; with MINCOR and CIRAM on the receiving end of a lot of interest from many government agencies. The central learning for the company was the emergence of Social Media (Twitter and Facebook) as a tool for governments to use to interact with and disperse information to the general public. We see this as validating the work being done within MINCOR to enable agencies to better manage the changing landscapes of communications.

All in all this was a really successful conference for Bay, we gained a lot out of our affiliation with the Australian Government stand and we are hoping to be able to participate again in the future.

October 2011- Bay Technologies is pleased to announce that after a rigorous tender process, the New South Wales Office of Environment and Heritage has chosen MINCOR as their preferred Ministerial and Executive Document Tracking System solution for managing all ministerial and executive correspondence.

Bay Technologies (Bay), a leading Australian provider of enterprise compliance and governance solutions, has recently signed a contract with the New South Wales Office of Environment and Heritage (OEH) to provide a Ministerial and Executive Document Tracking System, to replace their current manual processes. OEH have recently undergone a Machinery of Government (MOG) change, which saw the Department of Environment, Climate Change and Water split up, with the Office of Environment and Heritage being incorporated into the Department of Premier and Cabinet.

Bay's solution for OEH is based on the MINCOR product suite, and will initially be used to improve the efficiency of ministerial correspondence business processes. The implementation will coincide with a modernization of ministerial correspondence handling processes. This is to ensure that OEH are using the most up to date practices as well as taking full advantage of their new electronic system.

OEH's choice of MINCOR as the preferred Ministerial and Executive Document Tracking System will provide the Office with a centralised repository through which all correspondence will be processed. Additionally, it will enable detailed performance monitoring and reporting to be matched to internal key performance indicators and provide complete adherence to the relevant organisational and governmental records management policies.

The initial implementation is expected to be completed within 6 months of the tender announcement, however a long term partnership is expected as the solution has the capability to drive business efficiencies and cut costs across a number of other correspondence business processes.

Bay Technologies' CEO Mark Pickering was delighted with the outcome and said "Everyone at Bay is really excited with the prospect of welcoming another customer into the Correspondence Community of Practice that MINCOR has created. This outcome reaffirms Bay's position as the leading provider of Ministerial Correspondence Tracking Systems to Government Agencies in Australia. We have already started working in partnership with OEH to make sure they enjoy the same business benefits that all MINCOR customers realise."

Bay looks forward to a successful implementation project and a long term partnership with OEH.


For more information on MINCOR please visit the MINCOR page here: http://www.baytech.com.au/products/mincor4.html.

For more information about the Correspondence Community of Practice please see here: http://www.baytech.com.au/communities.html.

March 2011 - Bay is proud to announce an extension to its existing partnership with the New South Wales Department of Environment, Climate Change and Water (DECCW).

The Department has elected to further extend the use of Bay’s CIRAM, Case and Investigation Management System, to augment and replace their current manual processes.

The licence extension comes off the back of an original purchase made by the Department of Water and energy NSW in mid 2009.

DECCW have undergone a large assessment of their current systems and processes in order to understand how to best satisfy their business requirements. This has been conducted across the entire regulatory operation of the department. The CIRAM implementation will see all of these 31 business groups managing and coordinating their processes within the new system. The initial roll out to these groups is slated for completion before July 2011.

DECCW is looking to the future regulatory challenges as it empowers its many departments to be are able to operate within their areas of concern while maintaining management cohesion across the group. CIRAM is seen as system well suited to assist with this.

Bay Technologies' CEO Mark Pickering was impressed with the alacrity with which the department was able to move and stated this move further reinforces the company's position as the leading provider of Case and Investigation Management Systems to Australian Government Environmental Regulators.

Bay looks forward to an even stronger and closer working partnership with the department into the future.

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