Integrated and streamlined regulatory filings

Perform high-value tasks quickly and efficiently based on integrated data from multiple systems. As a result, you’ll shorten regulatory filing processes and collect revenue increases earlier.

CASE 1 Improving Filing Accuracy and Credibility

Confronted with a disallowed rate case caused by errors in a recent filing, our client was directed by management to eliminate errors and win back the confidence of their commissions. However, their filing system provided little transparency or security in the data and calculations, which made auditing their filing package very difficult. 


  • The UIPlanner Regulatory Module’s multidimensional calculations and reporting provided management with the ability to produce accurate and auditable regulatory results. 

  • The system’s editable logic and formula drilldown created a completely transparent user experience, giving analysts the ability to validate results.

  • UIPlanner’s automated and ready-to-file Excel Working Model package — including filing schedules, workpapers and data requests that satisfied commission requirements – avoided the need for manual intervention prior to filing.

The utility streamlined the time to file a rate case, with improved accuracy that, in turn, improved credibility with the commission. Automated calculations and filing schedules enabled the client’s regulatory staff to do more analyses and make changes as necessary.

CASE 2 Setting Regulatory Strategy

Producing an accurate forecast of revenue deficiency proved challenging for our client’s outdated regulatory systems. It was critical to know when to file and how much additional revenue was needed in order to improve rate case outcomes, but they lacked the tools to quickly forecast and evaluate strategic scenarios.


  • PlannerDash Strategic Modeling solution enabled our client to model regulatory results over a five-year period providing the detail needed to set regulatory strategy.

  • Integrating actual and forecast data from multiple enterprise systems, user spreadsheets and manual inputs proved critical to defining a regulatory system of record.

  • The web-based dashboarding functionality allowed management to run dozens of ad-hoc scenarios quickly, showing incremental results to their base case for rate base, revenue deficiency and return across their jurisdictions.

Drastically improved forecast accuracy and timely “what-if” scenarios allowed management to be confident of potential rate case outcomes and make better rate case filing decisions that minimized lost revenues.

CASE 3 Analyzing Regulatory Leakage

Our client’s regulatory return on equity relative to their financial return was lagging, and without a more detailed system, they were left to impose top-side changes to their expense and capital forecast. This approach lacked the requisite detail to identify and correct specific problem areas.  


  • UIPlanner’s ROE Reconciliation Analysis Framework provided the ability to calculate the differences in financial and regulatory return at the lowest level of detail.

  • Driver-based analysis allowed analysts to define leakage points such as allocations, averaging methods and capital structure differences.

  • Standard reports allowed managers to see leakage at varying levels in the ROE calculation.

The client was able to determine precisely what was contributing to the lower regulatory ROE and make strategic decisions to improve the loss. Better information about the sources of leakage helped the company’s regulatory affairs department work with commissions to suggest changes to the jurisdictional rules.

CASE 4 Automating Regulatory Accounting

Frequent issues with our client’s regulatory clause system resulted in delays in the close process and inaccurate postings to their accounting system of record. The system lacked the flexibility to handle the data inconsistencies and the agility to turn around a result within a tight two-day window. 


  • UIPlanner’s SOX-compliant Regulatory Module provided the ability to integrate to the ERP source data, shortening the actualization process significantly and increasing flexibility by automatically adding projects, accounts and other data with integrated error checking. 

  • Analysts were able to use the system to produce a full set of standard reports to clarify calculated results and highlight new unmapped data items for a secure user group.

  • Posting entries to the ERP system became an automated, monthly process once results were analyzed and approved.

The streamlined actualization process and fast processing time significantly increased the team’s ability to efficiently review the details, helping to mitigate errors and avoid costly rework.

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