AGENCY AUTOMATION USING THE STAR PSC

SYSTEMNARUC Staff Subcommittee on Information ServicesFebruary 19, 2008

Independently owned and operated; based in Mobile, AL since 1994

Fast growing company:

Chamber of Commerce Future 30 Award—1996, 1997, 1998, 2000

Small Business of the Year—2001

Microsoft Certified Partner (MCP)

Currently serving customers nationally (approx. 25 agencies in 14 states)

Has earned a reputation as an industry leader

ACO Information Fast Facts History

“It seems to me that when a contractor performs exceptionally as this one does, then that excellent performance and the reputation that accompanies it is the best payment the vendor is going to get ultimately.”   -- Commissioner Dave Harbour, Regulatory Commission of Alaska (9/20/07)

“ACO’s strongest asset is its knowledge and experience with our complex registration and licensing process. As a result of the new system, both service delivery and regulatory effectiveness have been improved”.— Deborah Bortner, Director, Washington DFI and Past-President of NASAA

STAR PSCConfigurable .NET framework: Features E-Documents, Workflow, & Single Database Design (SQL Server) for all applications. Includes: electronic filing, routing, hearings and dockets, public and regulated utility access via the web portal, order approval workflow and digital signatures, certificates, commission meetings, and agenda management.

STAR .NET VersionConfigurable .NET framework for large multi-purpose agencies and Securities/Financial Regulatory, includingApplications per the following:

STAR Enforcement: for Complaint Tracking, Investigations, and Case Management STAR Exam/Inspection including Inspection and Examination; Scheduling, Tracking, and ReportingSTAR Occupational Licensing for Licensing, Renewal, and Complaint Tracking for numerous Occupational Licensing typesSTAR Consumer Services & Financial Institutions for Mortgage Brokers and Small Loan Lenders; Banks, CU’s, and S&L’s STAR Securities for Securities Tracking & Registration

What is the STAR System?

Originally named the Securities Tracking and Registration (STAR) System, the product has grown to support public service commissions, large multi-purpose agencies, while continuing to handle processing requirements for state securities, banking, and financial regulators.

The STAR System provides Electronic Filing and Web Access. The STAR System includes the following components:

Customers

Commonwealth of MassachusettsState of South Carolina*

District of ColumbiaState of DelawareState of Alabama*State of Arizona State of Alaska*

State of IllinoisState of Arkansas

State of MississippiState of Washington

State of West VirginiaState of New Hampshire

Commonwealth of Kentucky

*includes STAR PSC customer (AK RCA, AL PSC, SC ORS)

ACO’s Mission

The commitment and focus of ACO is to provide enterprise-scale software solutions servicing

state regulatory agencies.

Executive Summary

By design, the STAR System from ACO meets many of the fundamental requirements of State Public Service Commissions

and Utility Boards:

Dynamic workflow changes Recognition of business rules Internet accessOn-line licensing and renewal Tickler files, alerts, and remindersE-Documents

Templates with MS WordScheduling and Tracking End user reporting Easy linking of data 100% Audit TrailPending Action Model

ACO Information Services

Specializes in electronic filing, routing, hearings and dockets, public and regulated utility access via the web portal, order approval workflow and digital signatures, certificates, commission meetings, and agenda management.

Dedicated support staff Quality solutions provider Superior technical expertise History of successful implementations Required Microsoft certifications

Executive Summary

ACO Information Services offers . . . Cost-effective solution Configurable software framework that meets basic system requirements Detailed plan for initial installation and upgrades Compatibility with multiple computing platforms Required documentation levels Hard-won expertise in Delaware, Kentucky, Arkansas, Washington, Arizona,

Alabama, Alaska, Mississippi, Illinois, Massachusetts, West Virginia, South Carolina, New Hampshire, and the District of Columbia

Full-time Help Desk

ACO Information Services and the STAR System have the necessary capabilities and commitment to deliver winning solutions for

State Public Service Commissions and Utility Boards.

AK RCA CASE STUDYAGENCY AUTOMATION USING THE STAR PSC SYSTEM

The Players

Regulatory Commission of Alaska (RCA)◦ The customer

ACO Information Services, LLC (ACO)◦ Technology (STAR System, COTS Solution)◦ Workflow Development◦ Analysis Services◦ Data Conversion Assistance◦ Developer and End User Training

Resource Data, Inc. (RDI)◦ Requirements Definition / Prototyping◦ Project Management / Product Selection◦ Website Development utilizing STAR Components◦ Quality Assurance

CTG◦ Data Conversion

RCA Website

Designed by RCA / RDI RCA / RDI prototyped, reviewed with User Group

made of Utilities and Utility Consultants Built by RDI on top STAR Components / Web Portal ACO worked with RDI to provide training and develop

additional required components RDI developed custom components for RCA and

plugged them into STAR Framework

AK RCA Case Management System:“ACO has done a fantastic job. I’ve been in this business for 21 years

and they are among the best vendors I’ve dealt with. They have a great attitude and they have a real commitment to the RCA. So I have a high degree of confidence that the system is ready to support your daily activities. I also have a high degree of confidence that they will continue to address issues as they arise. ACO has done a good job of going through those issues as we define them,

they have been very responsive.” by: John Hennessy (RDI Project Lead)

Source: public transcript from 9/20/07 commission meeting at which the Regulatory Commission of Alaska voted 5-0 to accept the Case Management System as rendered by ACO Information Services

STAR SYSTEMAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Technology Platform

Microsoft .NET 2.0 / ASP.NET 2.0 Microsoft SQL Server 2000 / 2005 Microsoft Office 2003 / 2007

STAR System

STAR System comprised of 3 Applications◦ Web Portal (Web)◦ Tracking Database (Smart Client)◦ Scheduled Job Runner (Windows Service, No UI)

Web Portal

Intended Audience◦ General Public◦ Regulated Utilities

Possible Activities◦ View Documents◦ Case Details◦ Calendar◦ Electronic Filing◦ Public Comments◦ Make Payments

Tracking Database

Intended Audience ◦ Analysts◦ Commissioners◦ File Clerks◦ Other back-office personnel

Activities◦ Contact, Entity Management◦ Document Management / Generation◦ Case Tracking / Management◦ Calendar Management◦ Workflow Processing◦ Reporting◦ Fee Processing◦ Lots, lots more

Job Runner

Intended Audience ◦ No User Interaction◦ Runs workflows on defined schedules

Activities◦ Annual Supervision & Fees Reports◦ Certificate Renewal Letters◦ Scheduled Reports◦ Regular imports from external systems

Key Definitions

Component Workflow Extended Properties XP Forms E-Documents Pending Action Start Page / Portal Plug-Ins Search Plug-In

Component

A reusable piece of software that performs a specific function

STAR System: An Extensible Approach

◦ Workflow◦ Star Web Portal◦ Windows UI Framework◦ E-Documents◦ Extended Properties◦ Pending Actions◦ Contacts/Entities/Addresses◦ Etc.

◦ Exam◦ Registration◦ Enforcement◦ Dockets◦ Hearings◦ Etc.

CoreComponents

Core Components

◦ Custom Components written specifically for a specific customer

◦ Portal Plug-ins, Search Plug-Ins, Reports, Processes

Customer Specific Components

AL-Teleco

WA-DFI

KY-HBC

OH-DoS

Domain Specific Components

STAR

PSC

Workflow

STAR System component that automates and enforces business rules and processes

RCA Case Study

Auto-generates commonly used documents based on user inputs – provides for better uniformity and less grammatical and typographical errors.

Provides a way to track document status and location. Moves projects through the office without needing emails

or mail carts. Provides instant notification by email or Pending Actions

to staff and commissioners of new documents filed, new or changed agenda items, and new or changed assignments.

Automatically posts documents to the web in appropriate locations.

Workflow

Extended Properties

User definable/designable data elements that can be utilized to extend the data capture capabilities of STAR without requiring programming changes

Provides a flexible means of capturing all sorts of miscellaneous information in an organized and useful way.  The

best “junk drawer” ever! - Dennis Wheeler

XP Forms

XP stands for eXtended Properties, and sounds cooler than EP.

User definable/designable forms that can be incorporated as part of a workflow as a means to capture LOB specific data.

Pending Actions

Primary mechanism for work assignment in the STAR System. Pending Actions are extensively used by STAR workflows. Think check list.

Tells the user what needs to be done and if it is overdue.

Start Page / Portal Plug-In

User Configurable Application Dashboard Configurable Widget for Start Page

Start Page

Portal Plug-InPortal Plug-In

User defined pages and contentUser defined pages and content

Search Plug-In

Configurable Searching Widget

Security

System has a flexible, high configurable security system to allow only the appropriate people to see documents, dockets, etc.

Agency Automation Receive/Track Filings

◦ Document Imaging◦ Electronic Filing

Case Management (Dockets) Agency Calendar

◦ Hearings◦ Commission Meetings◦ Other Events

Agenda Mgmt Order Mgmt / Approvals Money Tracking Statistical Management Entity / Contact Management

STAR Benefits

Single Database Reduced Paper Consistency of Process Improved efficiency High Accountability Automation of tasks, like document generation

and distribution Electronic filing of documents and forms Common Contact, Entities Reporting

RCA Case Study

Eliminated scattered and unconnected databases existing in Excel, Access, Liberty, Rocket and similar. This required significant data reconciliation, but the result is consistent and generally correct data – everyone is now working off the same data.

Can quickly navigate through dockets and from dockets to other Objects (Certificates, Filings, Entities, Contacts, and other dockets).

Changes to correct human errors in data entry are immediately posted and available in “real time”.

Pending Actions provide immediate feedback on the location and status of documents and “to do” items.

General

STAR SYSTEM - FILINGSAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Filings

What is a Filing

Formal / Informal documents submitted to a regulatory agency that adhere to some kind of workflow and may or may not be related to a docket.

Benefits

Substantially reduces or eliminates the need to generate copies and maintain various hardcopy files beyond an “original” hard-file.

Allows instantaneous routing within the agency. Provides instantaneous data reports and

eliminates the need to “capture” certain data if that data is provide by external users through web forms

Eliminates the need to scan in documents.

Basic Filing Process

Specify Filing Type Specify Receiving Information Specify Companies Specify Certificates (optional) Specify Dockets (optional) Specify / Approve Basic Document information Add Files (Scan/Browse/Generate) Specify Routing (optional)

Shows on Start Page

Double-Click to Open

Search for a Filing

ELECTRONIC FILINGAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Electronic Filings

Once submitted, must be reviewed and approved. May be rejected Filer is notified of status changes by e-mail Filer can login and view status on Web Portal May capture form data as well as uploaded files

DOCKETSAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Dockets

A Docket is a matter in front of the regulatory commission. Customers can define many docket types each which can follow its own workflow.

RCA Case Study

Keyword and other custom searches Easier to relate filings and orders to multiple

dockets and relate dockets to each other (eliminated redundant scans of the same documents).  The same is true for certificates, entities and contacts.

Dockets

Assigning Dockets

You can assign a docket as part of the receive filing wizard process.

You can assign filing(s) to a docket from the filing search screen.

You can assign a docket from the filing details screen.

You can have the system automatically assign a docket based on business rules (workflow)

Show up on User Start Pages

RCA Defined Extended PropertiesRCA Defined Extended Properties

Search for Dockets…

CALENDARAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Calendar

Easy for end users to see what is going on in the agency at a glance

System can automatically generate and distribute hearing notices to mailing lists and docket service lists

Hearings, Meetings, and Holidays can be displayed on the web portal (reducing phone calls)

RCA Case Study

Provides quick links to calendared items (hearings and meetings) and their agendas

Reduces the need to rely on a separate calendaring product.

External users (consumers, utilities, etc.) can now see views of upcoming commission hearings and meetings is ways not previously possible.

Calendar

AGENDA MANAGEMENTAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Agenda Managment

Allows more users to build agendas and flesh out agenda items in a collaborative way.

Allows direct access to the dockets and documents within an agenda item.  You do not have to step out of the agenda to view all the documents related to an agenda item.

Allows auto-generation and distribution of printable agendas

APPROVALSAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Approvals

System generates a document (order) based upon templates stored in the STAR System.

Document is processed through an approval workflow based on the type of Document

As approvals are made, the Document is updated with the Digitized signature associated with each approval.

Support for bulk approvals, majority approvals Document can be automatically published / distributed

once approved (based on workflow).

REVENUEAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Invoices and Payments

Money owed is tracked using Invoices Invoice can be manually created or generated

by workflow Payments can be applied to an Invoice when the

Invoice is created or applied at a later date Payments can be split across multiple invoices Payments can be entered adhoc or as part of a

batch.

Payment Batches

Used to separate payment intake from application

Payments can be entered as a batch and applied as time permits

Payments can be split across different accounts Auditable

AK RCA WEBSITEAGENCY AUTOMATION USING THE STAR PSC SYSTEM

WRAP UPAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Summary

Eliminated scattered and unconnected databases. Substantially reduces or eliminates paper Easier to build and track relationships Auto-generates commonly used documents based on

user inputs – provides for better uniformity and less grammatical and typographical errors.

External users (consumers, utilities, etc.) can now see views of upcoming commission hearings and meetings in ways not previously possible.

Allows more users to build agendas and flesh out agenda items in a collaborative way.

QUESTIONSAGENCY AUTOMATION USING THE STAR PSC SYSTEM

Contact Information

Dennis Wheeler, Advisory Section Manager (AK RCA)Dennis.wheeler@alaska.gov

Jim Andrews, Vice President of Salesjim.andrews@acois.com

Scot Dorger, Chief Software Architectscot.dorger@acois.com