Regulatory Filing Compliance Validator
Validate utility rate case filings for regulatory compliance and cross-reference accuracy
What You Can Do
You can validate complete rate case filings by cross-referencing testimony claims against supporting exhibits, verifying calculation consistency across 50+ workpapers, checking tariff language compliance with regulatory orders, and detecting missing disclosures or formatting violations. The skill generates detailed compliance reports with specific remediation steps, reducing manual review time from 40+ hours to 6-8 hours while ensuring submissions withstand commission scrutiny.
Features
automatically links testimony claims to supporting schedules and exhibits, flagging unsupported assertions
compares calculation methodologies and line item allocations across multiple exhibits to detect arithmetic or methodology breaks
validates filings against FERC, state PUC, and RTO-specific compliance standards and disclosure requirements
verifies tariff provisions align with commission orders, regulatory standards, and settlement agreement terms
ensures FERC Form 1 allocations, cost-of-service calculations, and rate design schedules reconcile to source data
identifies gaps in required supporting documentation, data requests responses, and audit trail requirements
produces audit-ready documentation with specific findings, line references, and remediation steps for commission discovery
Example Output
Example 1: Cross-Reference Validation Report
- Testimony page 42, line 15: "Operation and maintenance costs increased 8.2% YoY"
- ❌ UNSUPPORTED: No corresponding detail in Exhibit 5 (O&M Schedule). Recommend adding breakdown by cost category.
- Schedule reconciliation variance: $2.3M difference between testimony summary and Exhibit 5 detail requiring explanation.
Example 2: Workpaper Consistency Audit
- Depreciation methodology conflict detected: Exhibit 3 uses composite straight-line; Exhibit 7 uses component method for same asset class
- Cost allocation variance: $1.8M discrepancy between allocated O&M in rate design model vs. cost-of-service study
- Status: 94% consistency across 47 exhibits; 6 issues flagged for resolution
Example 3: Compliance Checklist
- ✅ Testimony cross-references complete (127 claims verified)
- ❌ Missing: Environmental compliance certificate per FERC Order 2000
- ✅ Tariff language reconciled to settlement agreement
- ⚠️ Flagged: Tax normalization treatment requires commission guidance clarification
What's Included
- REGULATORY-FILING-COMPLIANCE-VALIDATOR.md: Core instruction file with validation protocols and compliance frameworks
- Filing Compliance Checklist: Domain-specific requirements matrix for FERC, state PUC, and RTO submissions
- Cross-Reference Validation Template: Structured format for mapping testimony to exhibits with automatic gap detection
- Workpaper Audit Framework: Methodology consistency verification checklist across rate design, cost-of-service, and allocation calculations
- Compliance Report Generator: Audit-ready documentation template with findings, line references, and remediation steps
Who It's For
- Rate analysts and rate design engineers preparing FERC or state commission filings
- Regulatory compliance managers conducting pre-submission audits and quality assurance reviews
- Outside regulatory counsel validating utility filings before formal submission
- Chief regulatory officers managing multi-state rate case portfolios and compliance risk
- Cost-of-service study specialists ensuring methodology consistency across complex exhibits
Best For
- Pre-submission validation of complete rate case packages (50+ exhibits)
- Responding to regulatory data requests and deficiency notices
- Auditing workpaper consistency across rate design, cost allocation, and tariff schedules
- Verifying testimony claims are fully supported by underlying exhibits and calculations
- Creating audit trails and compliance documentation for regulatory discovery and audits
- Validating tariff language against commission orders and settlement agreement terms
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