How remote can it get? Working with change in the outback ...
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How remote can it get? Working with change in the outback ...

Best practices for implementing Electronic Records Management(EDRMS) using AS ISO154891

3Copyright © CAAC 2011 |

AuditAs of the March 2007 there were• 157computers with 182CAAC account Information users audit• 364,279 documents on 4servers• Storage growth is over20% p.a.• 250 00 + 1 millionarchived emails &growing at 200 000 p.a.• 3 IT staffIn 2011· 317 active computer accounts.· 55 servers and 2 exchange servers· Storage is increasing at more than 30% perannum.· 453,562 files and 63441 folders on shareddrives· More than 5million emails.• 4 IT staffData Storage at Congress600500Gigabytes400300200Used SpaceTotal Space1000User FilesEmailFinanceCommunicareTotalStorage Used/Allocations5

AS ISO 15489 implementation methodologyConduct preliminary investigationAnalyse business activityIdentify requirements for recordsAssess existing systemsIdentify strategies to satisfy requirementsDesign records systemImplement records systemConduct post‐implementation review6Copyright © CAAC 2011 |

Generic outline planEDRMS program designEDRMS technology solution designEDRMS technology implementationSupport developmentTraining developmentCommunicationData migrationSystem testingUser acceptance testingLocal preparationTrainingPilotGo liveCopyright © CAAC 2011 |7

Conduct preliminary investigation: Standards, Laws & RegulationsInitial assessment of organisation’s legal and business environments• AS ISO 15489.1‐2002, Records Management ‐ Part 1: General and• AS ISO 15489.2‐2002, Records Management ‐ Part 2: Guidelines.• HB 189‐2004: Knowledge Management Terminology and Readings ‐ An Australian Guide• AS/NZS 4450.3:1997: Information and documentation ‐ Bibliographic data element directory ‐Information retrieval applications• AS/NZS ISO 23081.2:2007: Information and documentation ‐ Records management processes ‐Metadata for records ‐ Conceptual and implementation issues.• AS 5037‐2005 Knowledge management• ISO TC 46/SC11 Archives/Records Management• ISO/TC171/SC2N450 ‐ ISO/DTR 22957 Document management ‐ Analysis, selection, andimplementation of Electronic Document Management Systems (EDMS)• Regulations• National Archives Australia (2006). Functional requirements for Electronic Records ManagementSoftware• Designing and Implementing Recordkeeping Systems (DIRKS)• Common law• Associations Act 2004 (NT) (38. Minutes; Part 5 Accounts & Audit ; Part 12 Handling of documents)• NT Poisons And Dangerous Drugs Act (2007) Part IX Records, 50 Retention of Records• Health and Community Services Complaints Act 1998 (NT)• Community Welfare Act 1983 (NT)‐ Sect 87• Employment and Training Act (NT)• Workplace Health and Safety Act 2011 (NT)• Archives Act 1983• Evidence Act 1995 (Commonwealth)• Limitations Act 1969.• Tax Ruling TR 2004/D23, Income tax: record keeping‐electronic records.• Electronic Transactions Act 1999 (Commonwealth)• Income Tax Assessment Act 1936• Crimes (Document Destruction) Act 2006• Copyright• Privacy Act 1988 (Commonwealth)8

RIMRWG: Pre‐Pilot ground work• CAAC Records & Information Management Policy (October2008).• CAAC TRIM Business Rules (October 2008).• We went for a 'vanilla/out of the box' implementation.• TRIM consultant Anastasia Govan loaded the TRIM software,set up 10 folders... etc Train RMO (Administrator) & did TrainThe Trainer Training (RIMRWG). I trained the rest of our staff.• The 6 month Pilot Project included Directorate (11staff) &Corporate Services (17 staff). After the successful pilot, softwarerolled out on a branch‐by‐branch basis.• We ran 2 systems until all TRIM components were fully tested.• The EDRMS is the largest IT project undertaken at CAAC.9

Needs Analysis & Software Selection• Interviewed all senior staff with questionnaire.• R1. “Implementing a Records Management System at CAAC”• R2. “Records & Information Management Plan”• Needs analysis ‐ Core Requirements of CAAC’s EDRMS• Software research & investigation• Software Selection – TRIP to Sydney ‐ Software evaluation• (Knowledge One –K1)• Dataworks (Avand)• Alchemy (Captaris) and• TRIM (Tower Software).• Recommendation:• It is recommended that Congress implement the TRIM for the following reasons:• It displayed the most comprehensive and most intuitive capabilities exceeding all of theother applications and CAAC’s core requirements.• The installation of TRIM will go a long way to ensure that CAAC achieve the benchmarkin Records Management.•10Copyright © CAAC 2011 |

#1. Challenge: archives projects• Identify vital records• Onsite archive & Offsitearchive• Develop vital recordsprocesses and procedures• Identify archives• Develop archivalprocesses and procedures• Fix 20 000 medical filesculled randomly –3 months to fix11Copyright © CAAC 2011 |

#2. No Records Act for private organisations• State Records Act• NT Information Act• Federal Legislation• ARRM ‐ Australia has over 2000 different pieces oflegislation on recordkeeping.• In the US organizations that must manage documents and recordsin a specific manner to ensure compliance with regulations andstandards have:,• FDA 21 CFR Part 11 and EU GMP Annex 11 related to electronicrecords and signatures in the pharmaceutical and life sciencesindustries.• HIPAA (Health Insurance Portability and Accountability Act) inthe medical/healthcare sector• Sarbanes‐Oxley in accounting and financial services.12Copyright © CAAC 2011 |

# 3. Empowerment & High staff turn over• CAAC policy – empowerment• 52% of the workforce is filled byAboriginal people• In 2009 for every working day we lost a staffmember.• Managers 22%• AHWs & Doctors 27%• Nurses 86%• Allied health 104%• 40% of corporate knowledge is in the heads ofstaff [Gartner].• TRIM training never stops.13Copyright © CAAC 2011 |

#4. RM shoestring.• We are a not‐for profit Primary Health Care Provider to AboriginalAustralians in the middle of the outback tying to meet compliance on ashoestring• RM staff = 1 (Team of One). Project will take 5 years to complete.• Implementing on a shoestring budget. $23,342 inclusive of GST• 97% of our funding comes from the Federal Government.• 3% from the NT Government• We have 84 licenses & 315 staff. Another 215 licenses = $250 000.• Our doctors & nurses are not allocated TRIM licenses as they useCommunicare 99% of the time. As a TRIM business rule, no personallyidentifiable medical information, treatment, consultation, medication etcis filled in TRIM. Our Driver & Cleaners will have their own site inSharePoint that does not file in TRIM.14Copyright © CAAC 2011 |

What are CAACs Functions1. Childcare ‐2. Clinical Governance3. Community Relations4. Compensation5. Equipment & Stores ‐6. Establishment7. Government Relations–8. Financial Management9. Fleet Management10.Health Care:11.Industrial Relations12.Information Management13.Legal Services14.Occupational Health & Safety15.Personnel16.Property Management17.Publication18.Staff Development19.Strategic Management20.Teaching & learning21.Technology & Telecommunications15

#5. 4 Unique CAAC functionsHealth CareClinicalGovernanceChild careTeaching &Learning16Copyright © CAAC 2011 |

#6. Retention & Disposal Schedule• A Rec. Retention Manual (2009)• REC. 21 – Keep PermanentlyUnique records include:• ‐ Childcare –24+ years [Standards for NT Child Care Centres2007]• ‐ Student files –30 years [ARRM 2006]• ‐ Stolen Generation files – Permanent Retention [Rec. 21]• ‐ Pharmacy prescriptions – 2 years (NT Poisons & DangerousDrugs Act 2007).• ‐ Bus Passenger lists – 5 years [CAAC]• ‐ Paper Patient files (Non‐attending) – 2yrs(clinic) + 3 yrs(onsite) + Permanent (offsite)17

#7. Scanning legal advice• Our legal advisor did not find any NT legislation apart from theInformation Act (2003) (applies only to NT public sector organisations),no guidance on the length of time a document must be retained after it isscanned.• In Commonwealth proceedings, a copy of an original is sufficient if it canbe proved the copy is accurate, properly copied, etc• The NT Evidence Act specifically refers to public documents –e.g. a birthcertificate.• The NT Evidence (Business Records) Interim Arrangements Act (NT) ‐section 14, provides that a copy of a document may be used and a recordof information made by the use of a computer may also be used.• With regard to documents that are scanned and destroyed, CAAC needsto have an approved scanning procedure. This is essential to persuade thecourt that in the absence of the original, the scanned version should beentered into evidence.18Copyright © CAAC 2011 |

# 8. Geographic Challenges• Linking 7 locations around town• Billy Goat Hill (site of cultural & religious importance to local people)• Australian Air Services owns the space at the top of the McDonnell Range• AAS took 6 months to approve link on the Range• The Melanka development goes ahead across the road they willneed dark fibre (very expensive) ‐ the high rise will obstruct line of sight to the range.19Copyright © CAAC 2011 |

Top of the Range20Copyright © CAAC 2011 |

# 9. Technological Challenges• Line of sight• Dark fibre ‐ Remote Health Branch• Links for 7 locations across town. 100MB Wireless linkneeded for WestPoint to go around Billy Goat Hill. 6 monthsdelay.• TRIM not compatible with Sun (finance) software• I had 2 major failures with the wireless link during TRIMtraining for Directorate Branch.• Technophobia• Our Board will not approve our medical records being hostedin the cloud or in a 3 rd world country.• We have the largest IT network outside the NT Government• Maintained by 4 staff.21Copyright © CAAC 2011 |

#.10 Consultants are 1500 km away• CAAC engaged the services of Whitehorse Strategic Group toimplement best practice records management utilising TRIM’s fullElectronic Document Management System (EDMS) capabilities(version 6.2.2).• The consultation took the form of 2 parts i.e. 2 trips wereundertaken to Alice Springs.• Two weeks (14.5 days) were set aside to complete all the tasks & theRecords Management unit staff to be trained.• Consultancy costs for pilot implementation.$23,342 inclusive ofGST• Owing to there being no TRIM administration online help desksupport in the NT that we could call upon, we took HP’s advice andhad to source this critical support for our records from interstate.• Kapish Services (Melbourne) are on call & dial into our TRIMsystem & fix issues immediately 80% of the time.22Copyright © CAAC 2011 |

#11 Remote Health Records• CAAC 20% admin fee for auspicing clinics that are out bush• We have 5 auspiced clinics:• Amoonguna Health Service Aboriginal Corporation –17km southeast• Santa Teresa Health Service Aboriginal Corporation –80 kmsouth• Mutitjulu Health Service Aboriginal Corporation –470 km southwest• Areyonga Health Service Aboriginal Corporation –205 km west• Hermansburg Health Service Aboriginal Corporation –130 kmwest• Each community Board & retains ownership of clinic records• CAAC cannot touch auspiced clinic records• Auspiced clinics cannot access our Intranet• Solution ‐ SharePoint 2010 Intranet / extranet.23Copyright © CAAC 2011 |

#12.Cultural change in Private HealthChange management lessons learned:• Do not ignore the corporate culture• Change is a slow process that requires effort over time• Organisations do not generally go from no RM programto world‐class information management in one go.• Users will trying to “wait out” change• Changed behaviours must become habits• How does 1 staff support 315 when the shared drives areshut down.• EMPOWERMENT ‐ Staff skills range from none to PHD.• Technophobia ‐ Influential technophobics24Copyright © CAAC 2011 |

# 13. Moving to e‐Health 1.• CAAC is moving to full electronic health records ‐All paper files are being archive (Rec.21)• E‐Health will support a more accessible and equitablehealth system by:• Patients can locate care providers and theirservices• Care providers can locate other providers fortimely referrals.• Rural, remote and disadvantaged communitieswill have better access to health care services e.g.Telehealth• • Supporting health care managers with access toquality data sources for workforce planning.25Copyright © CAAC 2011 |

# 13. Moving to e‐Health 2.• E‐Health will improve system efficiency by:• Automating appointments booking, orderingtreatments, and sharing information across the healthsector• Reducing duplicated treatment activities e.g.diagnostic tests• Chronic conditions will be addressed timeously.• Reducing travel time to & from rural and remotecommunities• 95% of the 43,000 people in the NT signed up for PCEHRthus far are Aboriginal/ Torres Strait Islanders.• Important instrument that will assist in “Closing theGap.”26Copyright © CAAC 2011 |

#14. Uptake ‐ TRIM & SharePoint in the Cloud.• TRIM uptake has been poor. This is aided by the fact that I cannotshut down the shared Drive. TRIM use is currently not mandatory.• RM uptake at CAAC will be greatly improved with SharePointintegrated with TRIM.• TRIM 7’ has 2 additional modules with integrate with SharePoint2010 i.e. the integration module & the archiving module.• SharePoint would provide the collaboration platform & TRIM willprovide the compliance. The cloud is a cheaper option for CAAC.• Thereafter staff will no longer receive TRIM training.• The P:/ drive (shared) would sit inside SharePoint.• The intranet [policies, procedures, HR forms, job adds, telephonelists etc] & P:/ drive would be accessible to all & store contentrequired by staff without a TRIM license (drivers / cleaners) [&doctors & nurses who only use Communicare.]27Copyright © CAAC 2011 |



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