Innovation Awards: Promoting Innovation among Utility Regulatory Policy and Utilities Background Information Organized by the NARUC Task Force on Innovation 1101 Vermont Ave, NW, Suite 200, Washington, DC 20005 USA, Tel: 1-202-898-2200, Fax: 1-202-898-2213, www.naruc.org
Table of Contents 1. Foreword.. 3 2. Purpose of the Award.. 3 3. Nomination Process. 4 4. Eligibility.. 4 5. Criteria 5 6. The Award Selection Committee.. 5 7. Selection Process. 6 8. Guidance for Nomination 6 9. Award List and Criteria.... 8 10. Nomination Information. 10 Page - 2 -
1. Foreword On January 17, 2017, the NARUC Executive Committee approved a motion to permit NARUC President Robert F. Powelson, pursuant to Title I, Section 19 of the Policies and Procedures of the National Association of Regulatory Utility Commissioners, to establish a Presidential Task Force on Innovation. President Powelson was authorized to proceed with establishing the committee. In an era of fast and profound change in both technology and regulatory approaches in all utility sectors, NARUC must be adaptable and resilient to spot new trends and opportunities. The technology and structures of the telecommunications, transportation, water, and energy sectors have been at the center of a maelstrom of systemic changes in regard to what NARUC members do and how we do it. NARUC members have always had to deal with such changes. With all of the new technology in development today from increased data analytics, to cloudbased computing software, to new forms of energy storage (just to name a few) NARUC is an ideal place to examine these trends and determine which ideas can be used to our advantage. Technology trends have, in turn, resulted in regulatory innovation; for example, accounting treatment of cloud computing, distributed generation, and new network transportation companies. Also, it is becoming increasingly clear that customers want to be involved in their energy usage in a way that the energy sector has never seen before. Therefore, over the next year, NARUC will focus on bringing the thought-leaders in technology and regulatory innovation to NARUC, showcasing some of the newest technologies available, and discussing their impact. This task force will provide the gateway by examining ways for NARUC members to embrace innovation and encouraging members to find ways to leverage the abundance of new technologies emerging in each sector. The Task Force will also develop criteria for 2017 Innovation Awards in two categories for State innovators in regulatory policy and utility innovators. The criteria will be announced at the July 2017 NARUC meetings along with an invitation for nominations in each category. 2. Purpose of the Award The National Association of Regulatory Utility Commissioners (NARUC) is a non-profit organization dedicated to representing the state public service commissioners who regulate the utilities that provide essential services such as energy, telecommunications, water, and transportation. NARUC is an invaluable resource for its members and the regulatory community, providing a venue to set and influence public policy, share best practices, and foster innovative solutions to improve regulation. For 2017, NARUC has established two categories of Innovation Awards among Utility Regulatory Policy and Utilities to acknowledge important contributions made by the NARUC membership (state commissioners and/or commission staff) and among utility innovators who have dedicated their time, energy and expertise to furthering innovation. Technology trends have, in turn, resulted in regulatory innovation. As a regulatory community, NARUC is in an ideal place to examine these trends and determine ideas ones can be used to our advantage, and is keen to promote the spread of knowledge and understanding of Page - 3 -
innovation regulatory issues that can help us exchange information which will be mutually beneficial. The Innovation Awards are a tool both for promoting and recognizing work of NARUC membership and utility innovators on innovative solutions to regulatory issues. The awardees will be presented with a certificate at the 2017 NARUC Annual Meeting. An announcement about the recipient will be made in NARUC s newsletter and on its website (https://www.naruc.org/committees/committee-resources/taskforce-on-innovationresources/). 3. Nomination Process The selection of the Innovation Awards winners will commence with a Call for Nominations for the Award which will be sent out on behalf of the Chair of the Task Force on Innovation to the entire NARUC membership (U.S. state-level commissioners and/or commission staff and NARUC affiliated organizations). Any NARUC member may submit his/her nominations directly to NARUC by submitting a document with the requested information to InnovationAwards@naruc.org. NARUC recommends that the nominating person solicit approval from the potential nominee in advance of submitting the form. All nominations will remain the property of the Innovation Awards Selection Committee. After the review and ranking of the eligible nominations, the Innovation Awards Selection Committee will present its ranking information and selection of the winning nominee to the Task Force on Innovation for its consideration. The Task Force on Innovation will approve the selection of the winning nominee. After Task Force on Innovation selects the Award winners, the Task Force on Innovation Chair will inform the awardees and seek his/her willingness to accept the Innovation Award and travel to Baltimore, Maryland to receive the certificate at the 2017 NARUC Annual Committee. After the awardees indicate his/her willingness to accept the award, information about the winning nominee is made public. Information about the Awards for Innovation winners will be announced in NARUC website and may be released to other media outlets after the Task Force on Innovation approves the selection of the Award winner. 4. Eligibility The nominee for a Regulatory Policy Innovation Award can be a commissioner or staff from US state public service commissions. In addition, staff members of NARUC affiliated organizations that are based in the United States are eligible. A list of NARUC affiliated organizations is available here: http://www.naruc.org/affiliates.cfm Page - 4 -
Any state commissioner, staff member, or representative from a U.S.-based NARUC affiliate organization who has been employed in that capacity at any time during the year covered by the award is eligible. (For example, the award to be given in November 2017 covers the period from January 1, 2016, through November 15, 2017. Eligibility thus would extend to anyone whose term of office or employment ends at any time in 2016 or in 2017 up until the conclusion of the Annual Meeting, November 15, 2017.) The nominee for the Utility Industry Innovation Award can be a utility innovator from US regulated utilities. The nominee can be a non-utility or an individual as long as the nominee is a NARUC member or NARUC affiliated organization. 5. Criteria The nominee should have either: A. A history of involvement in innovative regulatory solutions, including a description of significant contributions made. B. A major contribution or accomplishment in that calendar year that is above and beyond typical expectations of NARUC members voluntary contributions to promoting innovative regulatory solutions. C. Demonstrated an exceptional dedication of the person s time, energy and expertise to furthering utility innovation. Specific Criteria for each award is attached at Appendix A. 6. The Innovation Awards Selection Committee The Innovation Awards Selection Committee will have the responsibility to review and rank all the eligible nominations, and based on the ranking, select the winners of the Awards. The Awards Selection Committee will be comprised of the following: 1) Chair; Task Force on Innovation 2) Member; Task Force on Innovation 3) Member; Task Force on Innovation 4) Member; Task Force on Innovation 5) NARUC Staff Representative Before reviewing the nominations, the members of the Innovation Awards Selection Committee will ensure that there is no potential for perceived conflict of interest with respect to their participation in the Awards Selection Committee. For example, in any given year, if a member of the Innovation Awards Selection Committee has nominated himself/herself, or if someone else nominates any member of the Innovation Awards Selection Committee for the awards, then, that nominated member of the Innovation Awards Selection Committee will not be eligible to participate in the Innovation Awards Selection Committee and an alternate will be selected by the Task Force on Innovation Chairman. Page - 5 -
The Chair of the Task Force on Innovation will receive the nominations on behalf of the Innovation Awards Selection Committee. After the nominations come to a close, the Chair of the Task Force on Innovation will forward all the nominations received to the members of the Innovation Awards Selection Committee. The Innovation Awards Selection Committee will discuss the nominations via conference call and determine the following: 1) Which nomination should be deemed as acceptable? 2) Which nomination should be rejected and why? (e.g., late submission; incomplete information, ineligible nominee, etc.) 3) Ranking the nominees on a scale of 5 to 1 (5 being the highest and 1 being the lowest), using the selection criteria; 4) Selecting the top nominee who received the highest scores. The Task Force on Innovation Chair, on behalf of the Innovation Awards Selection Committee will present a summary of the nomination forms that the Innovation Awards Selection Committee received and reviewed and the scoring information and recommend the top scoring nominee s name as the Awards winners to the Task Force on Innovation for its approval via email. If there is a tie with respect to the ranking of nominations, meaning two nominations receiving the same scores from the Award Selection Committee, then the Task Force on Innovation Chair will have the tie breaking vote to decide the winning nomination. The decision reached by the Task Force on Innovation with regard to the Award winners will be final and no correspondence of any sort will be entertained either from the nominees or from other NARUC members regarding the final selection. The Award will be given to the recipient in a ceremony at NARUC Annual Meeting Task Force on Innovation Session. The Task Force on Innovation Chair will inform the awardees of the Innovation Awards prior to the date of the ceremony. This is to facilitate the individual to make necessary travel arrangements to attend the Award ceremony. 7. Selection Process: Scoring the Nomination Forms The Innovation Awards Selection Committee will score the nomination forms they have received in accordance with the criteria mentioned above. Based on the statements made in the nomination form, the Innovation Awards Selection Committee will allocate marks based on a scale of 5 to 1, with 5 being the highest score and 1 being the lowest. 8. Guidance for Nomination Nominating a regulator or utility innovation for the Innovation Awards is straightforward. The required information for nominations is attached in Appendix B. Page - 6 -
Before you begin please read this document carefully and the Selection Criteria and the Nomination process, timeline and the selection process. Please ensure that you complete all the contact details accurately in case the Awards team needs to contact the nominator or nominee. It is strongly recommended that the nominee or entity knows that you have nominated them for the Award and that they have consented to the nomination being made. Please keep in mind that the Innovation Awards Selection Committee will evaluate and rate the candidates based only on the information supplied in the nomination form, so please ensure that any statements made about the nominee are supported with specific examples. Remember that this information may be used in publications and promotions related to this event. Please submit your Nomination Form for the Award (via email) to InnovationAwards@naruc.org. If you have any questions about the submission procedure or completing the paperwork for your entry, or require further details, please contact Mr. Brien Sheahan, Chair of the Task Force on Innovation (Brien.Sheahan@illinois.gov) or Ms. Kerry Worthington, Senior Manager (kworthington@naruc.org). The original closing date for submitting the nomination was October 1, 2017 at 5:00 PM Central Time. However, please note that the nomination deadline has been extended to October 25, 2017 at 5:00 PM Central Time. The selected candidate would be notified a few weeks before the Awards Ceremony, but will receive the Award at a Ceremony during the NARUC Annual Meeting. Page - 7 -
APPENDIX A Category: Innovators in Regulatory Policy Subcategory 1: State-level Innovation in Regulatory Policy Eligible nominees: a state commission or state organization Nominee must demonstrate a commitment to innovation, whether that innovation be technological or policy based. Subcategory 2: Municipal-level Innovation in Regulatory Policy Eligible nominees: a city, town, or village Nominee must demonstrate a commitment to innovation, whether that innovation be technological or policy based. Subcategory 3: Individual Innovator in Regulatory Policy Eligible nominees: An individual commissioner, commission staffer, local government leader, or local government staff Nominee must demonstrate a commitment to innovation, whether that innovation be technological or policy based. Category: Utility Industry Innovators 1. Utility Industry Innovation by Functions and Values Subcategory 1: Utility Industry Innovation in Customer Care, Engagement, and Empowerment Eligible nominees: a utility, a non-utility entity, or an individual Nominee must demonstrate innovation in customer care, engagement or empowerment through an innovative program, technology, deployment, or pilot. Subcategory 2: Utility Industry Innovation in Reliability, Resiliency, or Security Nominee must demonstrate innovation in reliability, resiliency, or security through an innovative program, technology, deployment, or pilot. Subcategory 3: Utility Industry Innovative Pilots or Demonstration Projects Nominee must demonstrate an innovative technology, business model or policy tested through a pilot or demonstration project. 2. Utility Industry Innovation by Sector Subcategory 1: Utility Industry Innovation in Water and Sewer Page - 8 -
Nominee must demonstrate an innovative technology, business model, or policy related to water and sewer. Subcategory 2: Utility Industry Innovation in Electricity Nominee must demonstrate an innovative technology, business model, or policy related to electricity. Subcategory 3: Utility Industry Innovation in Gas Nominee must demonstrate an innovative technology, business model, or policy related to gas. Subcategory 4: Utility Industry Innovation in Telecommunication Nominee must demonstrate an innovative technology, business model, or policy related to telecommunication. Page - 9 -
APPENDIX B Nomination Process: To nominate a group or individual for a designated Innovation Award, please send a submission that between three (3) and seven (7) pages, single spaced, and 12-point font, to InnovationAwards@naruc.org. All award nominations must be received by 5:00 pm Central Time on October 25, 2017. Late submissions will not be accepted. Winners will be announced at the 2017 NARUC Annual Meeting. For questions, please contact Kerry Worthington at kworthington@naruc.org. In all submissions, please include the following information, as applicable. Including links to project websites is acceptable. Nominator/Nominee Information: 1. Nominator Name: 2. Nominator Contact Information: 3. Nominee Name and Title: 4. Nominee Company or Organization: 5. Nominee Contact Information: Nomination Information: 6. Award Category: 7. Short summary of reason for nominating. 8. How has the nominee demonstrated commitment to innovation? 9. What was the specific innovation? a. Why was it innovative? b. What is the scope of current and potential future impact of the innovation? c. Describe the opportunity for scalability/transferability of the innovation. 10. How does this innovation benefit ratepayers? Page - 10 -