AGENCY AUTOMATION USING THE STAR PSC SYSTEM

1. AGENCY AUTOMATION USING THE STAR PSC SYSTEM NARUC Staff Subcommittee on Information Services February 19, 2008

2. ACO Information Fast Facts History • 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 “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

3. 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: STAR PSC Configurable .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 Version Configurable .NET framework for large multi-purpose agencies and Securities/Financial Regulatory, including Applications per the following: STAR Enforcement: for Complaint Tracking, Investigations, and Case Management STAR Exam/Inspectionincluding Inspection and Examination; Scheduling, Tracking, and Reporting STAR Occupational Licensing for Licensing, Renewal, and Complaint Tracking for numerous Occupational Licensing types STAR Consumer Services & Financial Institutions for Mortgage Brokers and Small Loan Lenders; Banks, CU’s, and S&L’s STAR Securities for Securities Tracking & Registration

4. Customers Commonwealth of Massachusetts State of South Carolina* District of Columbia State of Delaware State of Alabama* State of Arizona State of Alaska* State of Illinois State of Arkansas State of Mississippi State of Washington State of West Virginia State of New Hampshire Commonwealth of Kentucky *includes STAR PSC customer (AK RCA, AL PSC, SC ORS)

5. ACO’s Mission The commitment and focus of ACO is to provide enterprise-scale software solutions servicing state regulatory agencies.

6. Executive Summary • Dynamic workflow changes • Recognition of business rules • Internet access • On-line licensing and renewal • Tickler files, alerts, and reminders • E-Documents • Templates with MS Word • Scheduling and Tracking • End user reporting • Easy linking of data • 100% Audit Trail • Pending Action Model By design, the STAR System from ACO meets many of the fundamental requirements of State Public Service Commissions and Utility Boards: 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

7. Executive Summary 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. 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

8. AGENCY AUTOMATION USING THE STAR PSC SYSTEM AK RCA Case Study

9. 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

10. 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

12. 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

13. AGENCY AUTOMATION USING THE STAR PSC SYSTEM STAR System

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

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

16. Web Portal • Intended Audience • General Public • Regulated Utilities • Possible Activities • View Documents • Case Details • Calendar • Electronic Filing • Public Comments • Make Payments

17. 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

18. 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

19. Key Definitions • Component • Workflow • Extended Properties • XP Forms • E-Documents • Pending Action • Start Page / Portal Plug-Ins • Search Plug-In

20. Component • A reusable piece of software that performs a specific function

21. Customer Specific Components AL-Teleco KY-HBC WA-DFI OH-DoS • Custom Components written specifically for a specific customer • Portal Plug-ins, Search Plug-Ins, Reports, Processes STAR System: An Extensible Approach Core Components Domain Specific Components STAR Core Components PSC • Workflow • Star Web Portal • Windows UI Framework • E-Documents • Extended Properties • Pending Actions • Contacts/Entities/Addresses • Etc. • Exam • Registration • Enforcement • Dockets • Hearings • Etc.

22. Workflow • STAR System component that automates and enforces business rules and processes

23. RCA Case Study Workflow • 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.

24. 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

25. 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.

26. 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.

27. Start Page / Portal Plug-In • User Configurable Application Dashboard • Configurable Widget for Start Page

28. User defined pages and content Portal Plug-In Start Page

30. Search Plug-In • Configurable Searching Widget

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

32. 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

33. 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

34. RCA Case Study General • 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.

35. AGENCY AUTOMATION USING THE STAR PSC SYSTEM STAR System - FILINGS

36. Filings

37. 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.

38. 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.

39. 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)

41. Shows on Start Page Double-Click to Open

43. Search for a Filing

44. AGENCY AUTOMATION USING THE STAR PSC SYSTEM ELECTRONIC FILING

46. 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

47. AGENCY AUTOMATION USING THE STAR PSC SYSTEM DOCKETS

48. 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.

49. RCA Case Study Dockets • 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.

50. 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)