agency automation using the star psc system naruc staff subcommittee on information services...
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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)[email protected]
Jim Andrews, Vice President of [email protected]
Scot Dorger, Chief Software [email protected]