Regulatory Filing Compliance Analyzer
Validate utility rate case filings against jurisdictional regulatory requirements
What You Can Do
You can audit utility rate case filings against FERC, state commission, and municipal regulatory frameworks to identify missing exhibits, non-compliant schedules, and gaps in required documentation. The skill generates structured remediation plans with prioritized actions, estimates compliance risk levels, and validates multi-jurisdiction filings simultaneously—helping you avoid deficiency notices and filing delays that can postpone revenue recovery by months.
Features
automatically cross-references filing requirements across FERC, state PUCs, and municipal regulators to identify applicable compliance rules
flags missing exhibits, non-compliant metrics, and formatting violations, then prioritizes by remediation urgency and impact severity
verifies completeness of required schedules, workpapers, and supporting documentation against jurisdiction-specific exhibit standards
analyzes filings subject to multiple regulatory frameworks and highlights conflicting or inconsistent requirements across jurisdictions
generates step-by-step remediation roadmaps with assigned ownership, timeline estimates, and dependency flagging
creates executive summary documenting compliance status, residual risks, and sign-off checkpoints before filing deadline
structures responses to regulatory information requests and deficiency notices using jurisdiction-specific language and exhibit formats
maintains compliance baseline for ongoing tariff amendments and informational filings to reduce redundant review cycles
Example Output
Example 1: General Rate Case Filing Review
Input: FERC Form 121 filing for transmission utility with 8 exhibits
Output:
- ✅ Exhibit A (Financial statements) — Compliant
- ❌ Exhibit D (Depreciation study) — Missing 5-year historical comparison required by FERC Order 890
- ⚠️ Exhibit E (CIAC allocation) — Formatting error in Schedule 5; requires reformatting per FERC standards
- Risk Level: Medium | Est. Remediation: 3 business days
Example 2: Multi-State Tariff Filing
Input: Identical tariff amendment filed to California PUC, Nevada PSC, and Arizona Corp Commission
Output:
| Requirement | CA PUC | NV PSC | AZ CC | Status |
|---|---|---|---|---|
| Effective date notice | 14 days | 30 days | 20 days | ❌ Conflict: 30-day requirement fails CA deadline |
| Cost-benefit analysis | Required | Optional | Required | ⚠️ Partial submission needed for AZ only |
| Public comment period | Yes | No | Yes | ✅ Compliant across jurisdictions |
Corrective Action: Stagger effective dates by jurisdiction or request coordinated filing approval.
What's Included
- SKILL.md instruction file with compliance framework and jurisdictional reference guide:
- FERC Compliance Checklist Template: standardized 25-point validation template for federal filings (Form 121, 122, etc.)
- State PUC Requirements Matrix: linked reference table for 15 major state commissions with exhibit requirements and filing timelines
- Exhibit Validation Workbook: schedule-by-schedule validation framework with formatting specifications and common deficiency patterns
- Multi-Jurisdiction Filing Tracker: spreadsheet tool for simultaneous filing management across multiple regulators with conflict flagging
- Deficiency Response Framework: structured response template for regulatory information requests with timing and escalation guidelines
Who It's For
- Rate Analysts & Managers — validating filings before submission to prevent regulatory rejections and timeline delays
- Utility Regulatory Affairs Teams — coordinating multi-jurisdiction filings and managing deficiency responses
- Finance & Planning Directors — overseeing compliance readiness for rate recovery filings and tariff amendments
- General Counsel / Regulatory Counsel — conducting pre-filing compliance audits and risk assessment for high-stakes submissions
- Tariff / Compliance Specialists — ensuring ongoing recurring filings and amendments meet evolving jurisdictional requirements
Best For
- Pre-submission compliance audits — validating rate case filings 48-72 hours before regulatory deadlines
- Deficiency notice response — structuring timely and compliant responses to regulatory information requests
- Multi-jurisdiction filing coordination — identifying conflicts and harmonizing requirements across FERC, state, and municipal regulators
- Exhibit and schedule validation — verifying completeness, formatting, and accuracy of required supporting documentation
- Recurring tariff filing management — maintaining baseline compliance standards for ongoing amendments and informational filings
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