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STAR PSC: e-Filing and Case Management SystemThe evolution of the leading COTS product for State

Public Service Commissions and Utility Boards

November 17, 2014NARUC SSIS CommitteeSan Francisco, CA

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Iron Data Overview

Introduction

Brief PowerPoint Presentation

STAR Demonstrations

– Electronic Filing– Web Portal– Docket– Orders / Hearings / Agendas / Agenda Items

STAR Framework

Wrap Up

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Iron Data Representatives

Jim Andrews, Sales Manager

Terry Ussery, Project Manager

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Iron Data Overview

Largest state licensing solution provider in the US

Privately-held company– 500 employees– Offices in Atlanta, Memphis, Austin, Raleigh, Mobile, Arlington

and Toronto– Financially Secure – positioned for growth

Public Sector Focus– Licensing and Regulation Division

• Purchased Versa in January 2010• Purchased CAVU in March 2010• Purchased ACO in October 2011

– Intelligent Case Management Division

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Iron Data’s Regulatory Experience• Public sector contracts in 47 States • Licensing implementations in 38 States • Over 200 Departments and Boards• STAR PSC implementations: LA, SC, KS, AL, AK, NC, Puerto Rico, and Oklahoma• Total of 10 Master/Background contracts

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National Reputation as an Industry Leader

Alaska

South Carolina

Alabama

West Virginia

Kentucky

Washington

Arizona

Mississippi

Illinois

Arkansas

Kansas

Louisiana

Puerto Rico

Massachusetts

New Hampshire

Delaware

District of Columbia

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What is the STAR PSC System?

STAR PSC System handles an array of filing types, dockets, meetings, orders, and electronic document storage,

Provides electronic filing, searching and document retrieval via the Web Portal

The same underlying technology framework is used for all product lines including PSC, Securities, Consumer Services and Banking

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1.Alabama--O, P, S

2.Alaska—P, S

3.Arizona—S

4.Arkansas—N, S

5.Delaware—D, N

6.District of Columbia—D, N, S

7.Illinois—S

8.Kansas—P

9.Kentucky—O

10.Louisiana—P, S, D, N

11.Massachusetts—S

12.Mississippi—B, S, O

13.New Hampshire—S

14.North Carolina—P

15.Ohio—S

16.Oklahoma—P

17.Puerto Rico—P

18.South Carolina—P

19.Washington—D, N, S

20.West Virginia—D, N

STAR PSC & STAR System Customers – STAR System

B—Business Services: 1 O—Occupational Licensing: 3D—Depository Banking: 5 P—Public Utilities: 8N—Non-Depository Banking: 6 S—Securities: 12

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The STAR PSC application is a COTS (Commercial-off-the-Shelf), paperless case, document, and workflow management system that automates the tasks of public service commissions and public utility regulatory agencies.

STAR – Public Service Commissions?

• Scheduling & tracking • Standard and ad hoc reports • Easy linking of data • Audit transaction history• Pending action model• Integrated revenue functionality• Comprehensive searching

• Single, centralized database• Integrated workflow system • Electronic Filing• Dynamic Web Portal• Electronic document

management system, including document scanning

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PSC Overview

• Focus on Telecommunications, Energy, Transportation, Pipeline Safety, Environmental (Petroleum Storage Tanks), Oil and Gas, Wastewater

• Generally composed of operating divisions (Telecomm, Energy, Legal, Advisory, Administration, etc) that receive and review the filings, and comment to and support the Commission which votes the matter up or down in a public hearing

• Cases/filings are quite voluminous (10 and 1 rule); electronic filing saves the filers significant effort in producing paper and transporting it (by the deadline) to the Commission. In many cases this required a rental truck full of paper to be delivered to the Commission.

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PSC – Department Challenges

Consequently, PSC’s have historically been paper intensive organizations. Traditionally, after receiving the 11 copies of the filing, they:

• Archive the original copy

• Rout the paper copies to all affected departments (via mail cart), allowing the reader to marginalize their notes

• These notes would then be re-typed in summary fashion and discussed in preparatory meetings

• Dockets were not integrated, agenda management was separate, hearings were noticed through e-mails, hard copies and separately established on the web site

• Regulated entities and the public communicated mostly by phone, with limited access to the filing on-line

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STAR PSC Advantages

• Now, only 1 copy (the original) is sent (usually after the electronic copy, which must be sent by the deadline)

• STAR allows electronic filing (and routing) of the matter, with all associated documents, which is then placed on a docket for review by the Commission, to be considered in a public hearing, that has been established on the Commission’s agenda with communications to both the public (and regulated entities) via the Commission’s web portal (as well as by automated e-mails through e-mail groups) and thru RSS feeds (for notifications of changes in a docket or matter), to allow full text searching of filings via the internet (including during hearings).

• Thus, STAR provides a new and better way for the PSC to communicate (and manage its relationships) with the public and regulated entities

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Demonstration Definitions

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

STAR Filings

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• A Docket is a matter in front of the regulatory commission

• Agencies can define many docket

types, each of which can follow its own workflow

STAR Dockets

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• Resources used to process volumes of paper• Manually routed filing delays• Paper filing storage expense• Document retrieval• Filer delays using postal and delivery services

Solution: STAR Electronic Filing

Common PSC Challenges

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Electronic Filing Demonstration

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• Paper reduction• Consistent step by step workflow• Electronic routing to user Start Pages• File online at any time from any location• Immediate feedback to the filer• Filing status accessible from the Web Portal

Electronic Filing Benefits

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• Large volumes of calls for information– Have you received…? – What’s the status of…? – When will this occur…?

• Time required

• Staff required

Solution: STAR Web Portal

Common PSC Challenges

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Web Portal Demonstration

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• Reduces inquiry calls• 24/7 access to public information• Full-text searching• Online filing entry performed by the filer• Complaints can be filed online• RSS feeds provide current information

Web Portal Benefits

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• Duplicate data in isolated systems• Can’t access all data from a single system• Inability to tie related information together in a

comprehensive package

Solution: STAR Dockets

Common PSC Challenges

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Docket Demonstration

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• Eliminates redundant documents and data• Single container to view all related activities• Ability to drill down into supporting information• Each docket is unique

Docket Benefits

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Common PSC Challenges

• Managing workflows for each order type• Keeping track of order routing and signatures• Scheduling hearings and managing agendas• Publishing orders and hearing schedules

Solution: STAR Orders and Hearings

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Order and Hearings Demonstration

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• Order approvals individually or in batch• Collaborative tools to build agendas • Direct access to agenda dockets and documents • Auto-generation and distribution of agendas

Orders and Hearings Benefits

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STAR Framework

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• Comprised of 3 applications– Web Portal (Web)– Tracking Database (Smart Client)– Scheduled Job Runner

(Windows Service, no UI)

STAR System

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• Microsoft .NET 3.5 / ASP.NET 2.0• Microsoft SQL Server 2005 / 2008R2 / 2014• Microsoft Office 2013

Technology Platform

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Single Database Structure

Agency-SpecificProcesses

Addresses

Annual ReportsCertificates

eFilings

Workflow Entities/DBAs

Interfaces to External Databases

Electronic Documents

Contacts

Complaints

Single STAR

SQL Database

DocketsRevenue

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• Allows the STAR System to be extended to meet customer-specific requirements

• Helps to limit a future of changes on existing customers

• Is utilized by the Start Page, searching, workflow, and more

• Makes the STAR System extendable, adaptable, and configurable

Plugin Architecture

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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 for a specific customer

• Portal Plugins, Search Plugins, Reports, Processes

Customer-Specific Components

AL PSC

WA-DFI

OK OCC

NC UC

Domain-Specific Components

STAR

PSC

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• Local (LAN)– Local installation at the client’s site– Designed for large agencies

• SaaS (“Software as a Service”)– Web-based installation– Available from any Internet connection– Hosted at Amazon Cloud– Designed for small- and medium-

sized agencies – Typical work experience no different

than using locally installed software– Data backup provided– Real-time database access for field agents

Dual Delivery Models

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Wrap Up

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• 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 contacts and entities• Reporting• Comprehensive searches

STAR PSC Benefits

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“It seems to me that when a contractor performs exceptionally, as this one does, then that excellent performance and the reputation that accompanies it are the best payment the vendor is going to get ultimately.”

Commissioner Dave Harbour,

Regulatory Commission of Alaska

2008 Meeting with AK RCA Implementation

Client Testimonial

“Please ask anyone considering STAR PSC to call me because I would be pleased to let them know how happy the Regulatory Commission of Alaska is with the product. We plan to expand its use in the upcoming year.”

Commission Chairman T. W. Patch,

Regulatory Commission of Alaska

2012 NARUC Meeting; Washington , DC

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Questions