OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMVERSION HISTORYVersion #DateAuthorKey Differences0.15/10/2019Michael Dougherty0.26/13/2019Michael DoughertyUpdates per OSCIO and PUC Staff0.310/06/2020Michael DoughertyNew Format by EIS0.411/04/2020Michael DoughertyUpdates per EIS and OPUC Staff0.511/16/2020Michael Dougherty0.611/25/20020Michael DoughertyAdditional updates per EIS and OPUCStaffAdditional updates per EIS and OPUCStaffPUC Dockets and eDiscovery Project Management Plan 0.3 Page 2

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMTABLE OF CONTENTSContents1Introduction . 61.123Project Governance. 82.1Governing Bodies . 92.2Project Governance Structure . 102.3Roles and Responsibilities . 11Scope Management Plan . 143.1Scope Development . 143.2Roles and Responsibilities . 153.3Scope Definition . 173.4Work Breakdown Structure (WBS) . 173.5Scope Validation . 183.5.1Deliverable Tracking. 193.5.2Receive the Deliverable. . 193.5.3Prepare and Route Deliverable. . 193.5.4Review of Deliverable. . 203.5.5Closing the Deliverable. . 213.645Project Overview . 7Scope Control . 21Schedule Management Plan . 224.1Schedule Development . 224.2Roles & Responsibilities . 234.3Schedule Control . 244.4Schedule Changes and Thresholds. 25Cost Management Plan . 265.1Roles and Responsibilities . 275.2Cost Management Approach . 295.3Cost Monitoring . 29PUC Dockets and eDiscovery Project Management Plan 0.3 Page 3

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMReporting Format . 305.46Cost Change Control Process . 30Stakeholder Management Plan . 316.1Responsibilities . 316.2Stakeholder Management Processes. 326.2.16.3Stakeholder Analysis . 336.3.16.47Resource Management Plan . 357.1Roles and Responsibilities . 357.2Project Organization Chart. 367.3Project Staffing Estimates . 377.4Staff Acquisition Strategy . 377.5Staff/Team Development Plan . 37Team Development . 377.6Project Orientation . 387.7Staff Transition and Replacement Plan . 387.8Transition at Project Completion . 38Procurement Management Plan. 398.1Roles and Responsibilities . 398.2Procurement Management Processes . 408.2.19Stakeholder Engagement Assessment Matrix . 33Stakeholder Management Strategies . 347.5.18Stakeholder Identification. 32Procurement Scope. 408.3Contract Type . 418.4Decision Criteria . 418.5Procurement Document Preparation . 418.6Vendor Management . 41Requirements Management Plan . 439.1Roles and Responsibilities . 439.2Requirements Management Approach . 459.2.1Requirement Types . 45PUC Dockets and eDiscovery Project Management Plan 0.3 Page 4

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEM9.3Requirements Development . 469.3.1Requirements Elicitation . 469.3.2Requirements Analysis . 469.4Requirements Specification . 479.5Requirements Validation through Traceability . 479.6Requirements Change Management . 4810Communication Management Plan . 4910.1Roles and Responsibilities . 4910.2Communication Management Process . 5010.2.1Identify Stakeholder Communication Requirements . 5010.2.2Identify Information Collection Sources and Responsibilities . 5210.3Define Guidelines for Project Communication Meetings . 5310.4Develop Project Meetings Schedule . 5310.5Identify Communication Tools . 5410.6Define Methods for Storage, Retrieval and Disposal . 5411Risk Management Plan . 5611.1Roles and Responsibilities . 5611.2Risk Management Processes. 5711.2.111.3Identify Risks . 57Analyze Risks . 58Qualitative Risk Analysis . 58Quantitative Risk Analysis . 5811.4Risk Response Planning . 5811.5Risk Monitoring and Control . 5912Issue Management Plan . 6012.1Roles and Responsibilities . 6012.2Issue Identification . 6112.3Issue Analysis . 6112.4Issue Resolution and Escalation . 6212.5Issue Control, Tracking, and Reporting . 6213Change Management Plan . 63PUC Dockets and eDiscovery Project Management Plan 0.3 Page 5

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEM13.1Roles and Responsibilities . 6313.2Change Management Process Description . 6413.3Change Request Identification . 6413.4Analysis . 6513.5Approval . 6513.6Implement . 6513.7Tracking & Reporting . 6614Quality Management Plan . 6714.1Roles and Responsibilities . 6714.2Approach . 6814.3Process Quality. 6914.4Process Definition . 6914.5Process Measurement . 7014.6Process Improvement . 7014.7Product Quality . 7014.8Product Definition . 7114.9Product Measurement . 7114.101Product Improvement . 72IntroductionThe Oregon Public Utility Commission (PUC or Commission) relies on a variety of applications to supportits business functions related to the conduct of official proceedings. These include a custom-built legacy“BizApps” docketing system and Huddle, a third party service for eDiscovery. The PUC seeks to replacethese systems with an integrated, cohesive, and efficient solution for internal and external stakeholdersdoing business with the Commission. By replacing the outdated and unsupported docketing system, PUCwill be better equipped to serve stakeholders and the citizens of Oregon.The Dockets and Discovery project management plan defines how the Dockets and Discovery project isexecuted, monitored and controlled, and closed.Project elements includes: Project Governance Scope Management Plan Schedule Management PlanPUC Dockets and eDiscovery Project Management Plan 0.3 Page 6

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEM Cost Management Plan Stakeholder Management Plan Resource Management Plan Procurement Management Plan Requirements Management Plan Communication Management Plan Risk and Issue Management Plan Change Management Plan Quality Management Plan1.1Project OverviewCurrently, stakeholders use and access several distinct systems to participate in cases before theCommission. The current docketing system does not accommodate secure electronic recordsmanagement for protected information or voluminous documents. Parties must provide the PUC andeach other with physical copies of these protected or voluminous documents. While the current solutionfor eDiscovery is used for some dockets, because of the labor-intensive set up and maintenance, it hasnot been practical to use that solution for the electronic sharing of protected information. At a highlevel, significant risks of the existing system include major cybersecurity issues in the currentarchitecture, outdated code, unsupported programming language, and 20 years of patchwork on thesystem.Additionally, the current docketing system does not have the ability to accommodate secure electronicrecords management for protected information, the capacity to handle voluminous documents, or theability to provide document access in native format. Parties must provide the PUC and each other withphysical copies of these protected, voluminous, or native-format documents.Although the use of a third party service (Huddle) for eDiscovery provides greater security, difficultieswith set-up and maintenance have prevented its use for the electronic sharing of protected information.Further, since the current eDiscovery solution is a third-party service (Huddle) solution, records must beimported to a PUC or state-owned records management solution. Our current process is to collaboratewith utility companies and intervenors using Huddle. We then export the files from Huddle to a PUCowned file storage as the official record.A new integrated solution for docketing and eDiscovery will increase efficiency for the PUC and itsstakeholders. Currently, external stakeholders are required to use and access several distinct systems toparticipate in cases before the Commission. These systems include eDockets, eFiling through electronicmail, and eDiscovery (Huddle). Internal stakeholders, in addition to the systems accessed by externalstakeholders, access three modules in BizApps: Dockets, List & Labels, and Data Requests. The targetedsolution will integrate these systems, thus decreasing the number of systems stakeholders must learnPUC Dockets and eDiscovery Project Management Plan 0.3 Page 7

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMand use to submit and access documents. The proposed solution is designed to increase stakeholderconvenience and efficiency and staff productivity because information will be available in a more timelyfashion, will be easier to locate, and will be able to be stored and accessed in a variety of formats, suchas providing complex economic forecasting models in their native Excel format.BizApps modules not included in the project include Residential Service Protection Fund (OregonTelephone Assistance Program and Telecommunications Devices Assistance Program) and ConsumerServices. Agency personnel will examine these modules for improvements after completion of thisproject.This investment in a new integrated solution will reduce vulnerability to cyber-attacks, streamlinebusiness processes for internal and external stakeholders, and allow for greater transparency as moredocuments will be accessible to the public.Failure to act increases risk of the docketing system failure, cyber insecurity, improper records retention,and inadvertent allowance of utility actions without proper review. Relying on a system for casemanagement when the system is based on source code that is no longer supported creates animmitigable risk of system failure that could impact residents statewide in relation to rates and servicesprovided by regulated utility companies.The project was split into two major phases. Phase 1 consisted of a Business Process Analysis of thesystem’s current and future states. This phase is completed; and using the information gathered duringthis phase, solution requirements were identified and documented.Phase 2 includes the design, development, and implementation of a new system that will replace theexisting Docketing and eDiscovery systems. The PUC is in the process of contracting with a vendor forPhase 2.In order to complete the project by a revised date of the end of October 2021, the project must moveforward expeditiously. In order to achieve the desired results, the solution must meet the requirementsidentified in Phase 1 of this project, including security and accessibility.The total purchased information technology solution product cost plus five years of support, and PUCstaff time is estimated to be 1.5 million including PUC employee time.2Project GovernanceProject governance is an oversight function that is aligned with the PUC’s governance model and thatencompasses the project life cycle. Project governance framework provides the project manager andteam with structure. Processes, decision making models and tools for managing the project, whilesupporting and controlling the project for successful delivery.PUC Dockets and eDiscovery Project Management Plan 0.3 Page 8

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMThe governance process benefits projects by achieving the following objectives: Ensures timely decisions are made at the appropriate level. Ensures the project maintains sponsorship and funding. Provides strategic leadership and direction. Fosters a culture of accountability and transparency. Provides oversight and guidance to improve the potential for success. Promotes efficient and effective teams, reduced risks, and effective use of resources. Ensures needed resources are available. Ensures that business impacts are regularly identified, communicated, and understood bystakeholders and business partners.2.1Governing BodiesThe following governing bodies have a role in governing the project, such as a Steering Committee andChange Control Board (CCB). The Steering Committee represents impacted stakeholders or units andprovides strategic direction to the project to ensure fulfillment of its goals and objectives.Committee NameSteeringCommitteeResponsibilitiesProject OversightCommitteeType(DecisionMaking, ncyMonthlyComments andAssignments Project AdvisoryCommitteeAssist in the directionof the projectAdvisoryMonthly Governance ofthe projectrepresentingthe interest ofstakeholders.Resolve IssuesEscalated byProjectSponsor.Advise theProjectSponsor onprojectrequirements,project scope,and projectprogress.PUC Dockets and eDiscovery Project Management Plan 0.3 Page 9

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMCommittee NameChange ionMaking, Advisory,Informational)Review and analyzeDecisionchange requests andMakingensure thatscope/schedule/budgetimpacts are identifiedand acceptableMeetingFrequencyWeeklyComments andAssignments Approve orreject changerequest. Somechangerequests mayneed to beescalated tothe ProjectSponsor andSteeringCommittee.Project Governance StructureFor this project, the PUC is utilizing a functional organization as shown in the following diagram. Becausethe Project Manager is also the Chief Operating Officer (COO), this structure maintains the advantage of“unity of command” without the disadvantage of slow communications within multiple functions tohave input. The COO is a member of the agency’s Leadership Team, which also includes the ProjectSponsor (Chief Administrative Law Judge) and Utility Program Director (a primary user). Additionally, theChief Financial Officer reports to the COO and the COO is ultimately responsible for the finances of theagency.PUC Dockets and eDiscovery Project Management Plan 0.3 Page 10

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMCommissionChairExecutiveDirectorSteering CommitteeChief OperatingOfficerProject ManagerChiefAdministrativeLaw JudgeProject SponsorChief InformationOfficerAssistant ProjectManagerChange Control BoardProjectAdvisoryProject TeamCommittee2.3Utility ProgramDirectorRoles and ResponsibilitiesThe table of Roles and Responsibilities provides a description of duties for project roles governing theproject.NameRoleMichael Grant(Executive Director)Executive SponsorResponsibility Provides leadership on culture and values.Owns the business case.Keeps project aligned with organization's strategyand portfolio direction.Governs project risk.Works with other sponsors.Focuses on realization of benefits.Recommends opportunities to optimizecost/benefits.Ensures continuity of sponsorship.Provides assurance.Provides feedback and lessons learned.PUC Dockets and eDiscovery Project Management Plan 0.3 Page 11

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMNameNolan MoserRoleProject SponsorResponsibility Bryan ConwayDiane DavisLori KohoJohn CriderJonathan FellingMichael Dougherty(non-voting)Qing Liu (nonvoting)SteeringCommittee Oversee project governance and serve as finalarbiter on disputes among stakeholders.Approve any changes in scope, schedule, or budgetwhen these change beyond percentages specified intheir individual sections of this document.Ensure that external governing entities are properlyconsulted and engaged to provide timely approvalof changes where required.Ensure that Stakeholders who need to provideadvice about decisions have opportunity formeaningful input.Maintain a shared vision among steering committeemembers inside and outside the meetings.Monitor risks and issues to make sure that mattersare appropriately referred for decision promptly.Remove obstacles.Chair the Steering Committee.Recommend to the Project Sponsor any changes inscope, schedule, or budget when these changebeyond percentages specified in their individualsections of this document.Simultaneously provide global governance of theproject and represent the interest of internal andexternal stakeholders.Review and address project audit, quality assuranceand risk assessment findings.Actively engage in project status reviews to ensurethe control of the scope, schedule and budgetIdentify and resolve conflicts between projectobjectives/activities and other factors, such asorganizational policies, business practices,standards, or relevant requirements.Ensure compliance with relevant regulatory andcontractual requirements and organizationalpolicies.PUC Dockets and eDiscovery Project Management Plan 0.3 Page 12

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEMNameMichael DoughertyRoleProject ManagerResponsibility Qing LiuAssistant ProjectManager Sarah RoweCaroline MooreKimberly ToewsQing LiuDiane DavisJonathan FellingMichael DoughertyLori KohoJohn CriderProject AdvisoryCommittee Change ControlBoard (CCB) Make daily decisions based on direction provided bythe Project Sponsor or when changes are within theagreed upon delegated authority.Ensure that other Stakeholders have opportunitiesand information necessary to provide adviceregarding pending decisions.Communicate with the Project Sponsor regardingdecisions made.Escalate issues for resolution to the Project Sponsorwhen they are outside the Project Manager’s spanof control.Ensure that decision items are properly analyzedbefore presenting them for decision.Compile and track requested changes to scope,requirements, or design details.Make recommendations based on directionprovided by the Project Manager or when changesare within the agreed upon delegated authority.Ensure that other Stakeholders have opportunitiesand information necessary to provide adviceregarding pending decisions.Escalate issues for resolution to the ProjectManager.Ensure that decision items are properly analyzedbefore presenting them for recommendation.Assist in compiling and tracking requested changesto scope, requirements, or design details.Advise the Project Sponsor, Project Manager, andAssistant Project Manager on project requirements,project scope, and project progress.Analyze the requested changes.Approve or reject requested changes. Final approvalmay also need to be ratified by the Project Sponsorand Steering Committee.PUC Dockets and eDiscovery Project Management Plan 0.3 Page 13

OREGON PUBLIC UTILITY COMMISSIONDOCKETS AND DISCOVERY SYSTEM3Scope Management PlanScope Management is the collection of processes to ensure that the project includes all the workrequired to complete it while excluding all work that is not necessary to complete it. The ScopeManagement Plan describes how the project will control the activities and deliverables and the rolesand responsibilities of everyone involved.The Scope Management addresses the following: Who has authority and responsibility for scope management How the scope is defined (i.e. Requirements, Scope Statement, WBS, WBS Dictionary, Statementof Work, etc.) How the sco

PUC Dockets and eDiscovery Project Management Plan 0.3 Page 2 VERSION HISTORY Version # Date Author Key Differences 0.1 5/10/2019 Michael Dougherty 0.2 6/13/2019 Michael Dougherty Updates per OSCIO and PUC Staff 0.3 10/06/2020 Michael Dougherty New Format by EIS 0.4 11/04/2020 Michael Dougherty Updates per EIS and OPUC Staff