Public Utilities Commission of Nevada (PUCN) Request For Proposal “Electronic Filing & Record...

Public Utilities Commissionof Nevada(PUCN)

Request For Proposal

“Electronic Filing & Record

Management (EFRM) System”

PRESENTED BY:Brian McCombsJared BlakePaul MaguireMike JoyerGary Noah

PUCN

• The PUCN is the state agency responsible for regulating investor owned utilities operating in the state of Nevada.

– Electric– Natural Gas– Telephone– Water/Sewer companies

MISSION:“To enable access to affordable, efficient utility service in the State of

Nevada”

• Headquartered in Carson City, the PUCN also has offices located in Elko and Las Vegas, Nevada.

Office Location Office Address Employees

Carson City 1150 E. William Street 65

Carson City, Nv. 89701

Elko 557 W Silver Street 1

Elko, Nv. 89801

Las Vegas 101 Convention Center 20

Dr. Suite 250

Las Vegas, Nv. 89109

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• The Commission is divided into two general sections:

Commission Policy/Administration Section

&

Regulatory Operations Section

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• Commission Policy/Administration Section– Includes:

• The Commissioners• Administrative Attorneys• Policy Analysis Division• Public Affairs and Consumer Education• Commission General Counsel• Administration• Administrative Support Services• Case Management• Computer Systems

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• Regulatory Operations Section– Includes:

• Staff Counsel• Resource and Market Analysis Division• Tariffs and Compliance• Safety and Quality Assurance• Consumer Complaint Resolution

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• Paul Maguire

• The PUCN currently accepts 9 filings in paper copy.

• Each filing can be up to 20 volumes or 10,000 pages.

• 3 filings go to Regulatory Operations Staff.• 1 filing goes to Las Vegas Facility.• 1 filing goes to Master File in Carson City.• 1 filing goes to each commissioner (3 in all)• 1 filing goes to Commission’s General Counsel.

• A filing fee of $200 dollars is via check.

PUCNCurrent Process

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• The filing “docket” is summarized and published in 3 local newspapers.

• The docket is assigned to a single commissioner.

• The Commission’s admin staff accepts interventions filed by interested parties called “Interveners”.

• The Commissioner rules on the merits of each intervention and publishes an order stating which interventions are approved and which are rejected.

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• A pre-hearing is held at which the Commissioner requests input from the participating parties, and sets the dates for testimony to be filed and a date for when a hearing will be held.

• Intervening parties file testimony presenting their recommendations.

• Applicant files rebuttal testimony stating where and why they disagree with the intervening parties’ testimony.

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• The Commission holds a hearing in which each witness for the applicant and the intervening parties are asked to testify and are cross examined on the testimony they have submitted.

• Each party is allowed to submit a summary.

• Commissioner issues a draft order on the docket.

• The three Commissioners vote on the draft order.

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• The Commission Secretary issues a final order based on the Commissioners’ decision and closes the docket.

• The Commission’s admin staff archives all documents associated with the docket.

• The documents are kept at the Commission’s office for 5 years and then the documents are electronically archived and the paper copies are sent to the Nevada State Library.

• Brian McCombs

• Existing Computer & Information Systems

– Personal Computers• MS Office Business Package• 2 Email Accounts

– GroupWise (Intranet)

– MS Outlook (Internet)

– Website www.puc.state.nv.us

– Legacy System: Docket Tracking System (DTS)

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http://www.puc.state.nv.us/

Legacy System: Docket Tracking System (DTS)• MS Access Database• Tracks current status of all Dockets• Provides an overview of filings and those assigned to the

docket, as well as all who are intervening• Summary of all orders and filings finalizing docket• Managed by internal PUCN IS department

• THE DTS DOES NOT PROVIDE ACCESS TO ANY OF THE DOCUMENTS FILED WITHIN A DOCKET

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EXISTING ARCHITECTURE

Carson City Server

Groupwise «table»

MS Access Data Base

Tables

Carson City Lan 65

Employees

Las Vegas Lan (20

Employees)

Novell Netware 5.1

Las Vegas Server

Novell Netware 5.1

Every Employee Has a Personal Computer

Elko DSL / VPN (1

Employee)

Backup of Carson City

CC User Files

CC User Files

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Las Vegas Office 10/100 Ethernet Lan

+ Cisco 2620

+ Kentrox CSU / DSU

+ PolyCom Video Conferencing

Carson City Office 10/100 Ethernet Lan

+ Cisco 2500

+ Kentrox CSU / DSU

+ PolyCom Video Conferencing

Carson City Core

+ Cisco 7513

Elko Office

Las Vegas CORE

+ Cisco 7513

557 W Silver StreetElko, NV 898011 Employee

1150 E William Street Carson City, NV 8970165 Employees

LAN 10/100 Ethernet Novell Net Ware 5.1

101 Convention Center Dr. Suite 250Las Vegas, NV 8910920 Employees

LAN 10/100 EthernetNovell Net Ware 5.1

Carson City Office 10/100

Ethernet Lan::Cisco

2500

Las Vegas Office 10/100

Ethernet Lan::Cisco

2620


Ethernet Lan::PolyCom

Video Conferencing


Ethernet Lan::

PolyCom Video

Conferencing


Ethernet Lan::

Kentrox CSU / DSU


Ethernet Lan::

Kentrox CSU / DSU

T1 Data & Video Conferencing

Ethernet Drop

T1 Data & Video Conferencing

Silvernet Backbone

Local DSL Connection Using State VPN software.

Ethernet Drop

Current Network& Connectivity

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• Mike Joyer

PUCNThe EFRM Vision

• To create a technology environment that will support the acceptance and management of "legally defensible" electronic documents and records and their associated filing fees

• PUCN envisions the acceptance of those electronic documents and records and associated fees both "over the counter" and over the internet

PUCN

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Accept Electronic Payments

External Stakeholders (Interested Parties and Regulated Utilities)

(from Records Management Vision)

Internal Stakeholders

(Staff)

(from Records Management Vision)

Credit Card, DebitCard, EFT, Electronic Check, etc.

PUCN Funding Sources : Funding Sources

Submit and Access Electronic Documents & Records

Accept Required Fees Electronically

Payment Fees Vision

• Complete definition, purchase and installation of required hardware and software, utilizing to the best extent possible the PUCN’s existing hardware and software applications.

• The system must conform to the DOD 5015.2 standard for the “Design Criteria for Electronics Records Management Software Application”.

PUCNRequirements

• Full implementation of the EFRM system, which includes configuration, installation and testing of all the hardware and software necessary to satisfy the PUCN’s requirement for an EFRM system (i.e. a turnkey system).

PUCNRequirements

• Support 40 concurrent end-users, and 4 simultaneous system administrators.

• Support scanning, receiving and indexing of documents from two distinct locations (Carson City and Las Vegas).

• Should be equipped with the redundancy necessary to support two physical locations (Carson City and Las Vegas) that are totally independent from one another.

• The portal for accessing the EFRM system should be the PUCN’s existing website, www.puc.state.nv.us.

PUCNCapabilities

• The ability of scanning and indexing active paper documents and records into the EFRM system.

– Estimated 20,000 to 40,000 letter and legal sized pages per month.

– Estimated 500,000 letter and legal sized pages stored in file cabinets.

• The ability to take documents currently stored in microfilm and electronic media and covert them into the EFRM system.

– Estimated 500,000 existing TIFF imaged pages currently stored on CDs.

PUCNCapabilities

• Gary Noah

• 4 Entities Affected:

1) PUCN Personnel2) Regulated Utilities that commonly make filings with the PUCN3) Intervening Entities4) External Stakeholders

• Since each entity will use different features within the EFRM system, individual change management and training sessions will be required for each entity

PUCNChange Plan & Training

• PUCN Personnel

– PUCN envisions forming a team that will assist the entity awarded the contract for developing the EFRM system.

– The EFRM team will be comprised of PUCN personnel from various departments

• Regulatory Operations Staff– 1 Resource and Market Analysis– 1 Tariffs and Compliance– 1 Staff Legal

• PUCN Policy Staff– 1 Commissioner– 1 Administrative Attorney– Commission Secretary (Co-Champion)– 2 Administrative and Case Management personnel– IT Manager (Co-Champion)


• PUCN Personnel

– The PUCN envisions a train-the-trainer type scenario, whereby each of the aforementioned PUCN participants will be fluent in all aspects of the EFRM system .

– The EFRM developer/contractor is responsibility to provide a three week training sessions for the EFRM team once the system is complete.

– EFRM contractor will provide training sessions for the remaining 70 PUCN employees in Las Vegas and Carson City.

• Two members of the PUCN’s EFRM team will be available at each training session to assist in the training of the remaining PUCN personnel


• Regulated Utilities

– Input from these utilities will be required during the development stage of the EFRM system.

– The regulated utilities contacted are unable to provide full-time personnel to help develop the EFRM system.

– Vice Presidents of Regulatory Affairs of three major utilities in Nevada (Sierra Pacific Power Company, Southwest Gas Corporation, and SBC Nevada Bell) have committed to have regulatory personnel available for meetings either at their offices our at the PUCN’s offices on a monthly basis.



– Individual training sessions will have to be held for each of the major regulated utilities in the State of Nevada.

• Those sessions are anticipated to be 3 day courses.

• It is anticipated that 18-days will have allocated to regulated utility training sessions

• Personnel from the PUCN’s EFRM team will also be available to aid in the training of utility personnel


• Intervening Entities

– Intervening entities change from one docket to another.

– Difficult to provide training sessions to every possible entity.

– However, the EFRM contractor will provide eight 2 day training sessions for those entities that commonly intervene in dockets before the PUCN

– Training sessions will take place either at the PUCN’s Carson City or Las Vegas offices.

– Personnel from the PUCN’s EFRM team will also be available to aid in the training of utility personnel


• External Stakeholders

– Extensive number of external stakeholders.

– Difficult to provide training sessions to every possible stakeholder.

– The PUCN’s EFRM team is expected to have the skills necessary to be able to train external stakeholders.

– A detailed training manual specifically targeted to external stakeholders should be accessible on-line from the PUCN’s website.


• Training Venue:

– The PUCN’s Hearing Room B in both Carson City and Las Vegas is equipped with network connections such that six training workstations can be setup and configured.

– It is envisioned that all of the required training will occur in at these facilities.


• Training Manuals:

– The EFRM contractor is required to provide complete training manuals for the EFRM system.

– Different manuals for different users:

• System Administrators

• PUCN Personnel


• Intervening Entities

• External Stakeholders

– Contractor to provide 5 copies of each training manuals, as well as an electronic version that can be accessed from the EFRM system or the PUCN’s website.


• Several sign-off/acceptance points during the development of the EFRM system.

• PUCN sign-off/acceptance is required at each point in order for the development of the EFRM system to continue.

• These sign-off/acceptance points will be tied to the payment milestones for the EFRM system.

PUCNACCEPTANCE CRITERIA

• 20% at the signing of the contract (Hardware and software to be paid in full as required; however, must occur no later than 45 days after contract signing).

• 10% at the final design and scope of the EFRM system (Must occur no later than 75 days after contract signing).

• 20% at the initial completion of the project (Must occur not later than 180 days after contract signing).

• 10% after the training of the PUCN’s EFRM Team and all problems and changes requested during this 3-week training session have been corrected (Must occur no later than 220 days after contract signing ).

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Payment Schedules

• 10% after the training of the remaining PUCN personnel, regulated utilities, intervening entities and all problems and changes requested during these several session have been corrected. (Must occur no later than 300 days after contract signing).

• 10% after the first month of the EFRM system going live (Must occur no later than 360 days after contract signing).

• 10% after the third month of the EFRM system going live.

• 10% after the sixth month of the EFRM system going live

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Payment Schedules

• Developer is required to provide a 1 year warranty on the entire EFRM system.

• Warranty is expected to cover 100% parts and labor .

• Warranty is to cover any problems that are uncovered with the EFRM system within the first year

• Developer is to provide a proposal/quote for yearly technical support for the EFRM system following the first 1 year warranty period.

– The quote should be valid for the first 5 years following the 1 year warranty period and can have a yearly percentage escalator to take into account inflation or other cost increases in service.

• Provide technical support for the EFRM system.

• Provide one 5 day visit each year to the PUCN office in Carson City in order review the operation of the EFRM system and to make any changes or modifications the PUCN requests.

PUCNWarranty and Support

• Each responder to this RFP is requested to supply a complete company resume including the electronic filing and records management system they have developed or been involved with.

– resume should include a list of local, state and federal government entities in which they have developed EFRM systems.

• Bidder should provide an outline of the experience they have with the DOD 5015.2 Standard

• A list of company personnel that are expected to work on the development of the PUCN’s EFRM system should be provided.

PUCNReferences

• Formal response to this RFP must be received within 90 days from the date it is issued.

• Following receipt of the RFP responses, a short-list will be created based upon the top five proposals.

• Should a proposal make the short-list, the bidder should prepare to attend a 1 day interview at the PUCN’s office in Carson City, Nevada.

• Following the short-list interviews, the short-list will be cut down to three bidders and formal negotiations will begin.

• The PUCN envisions signing a contract and issuing a purchase order with the winning bidder within 100 days of the bids being received.

PUCNRFP RESPONSES AND PROJECT COMMENCEMENT

• Submit all bids and correspondences to:

PUCN Secretary1150 East William Street

Carson City, Nevada89701-3109

PUCNRFP RESPONSES AND PROJECT COMMENCEMENT

Public Utilities Commission of Nevada (PUCN) Request For Proposal “Electronic Filing & Record...

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