Energy & UtilitiesLegal & Compliance
Regulatory filings. Complete before the docket.
Prepares regulatory filings and rate case responses for utility commissions, checking every exhibit and schedule against the commission's specific filing requirements before submission. Built for utilities managing filings across multiple state commissions.
15 cited fields per filing. Built on Sphere AI Foundry.
reg_filing - docket #RF-81155LIVE
00:00Ingest rate case filing, state PUC, 12 exhibitsread
00:03Requirement check test-year data required per Rule 4.2passed
00:05Completeness check exhibit G missing cost-of-service scheduleflagged
00:07Format check filing format matches commission templatepassed
00:08Disposition Route to regulatory counsel, 1 exhibit incompleterouted
review time 8 minfields cited 15/15counsel sign-off required
Built on Sphere AI Foundry·Checked against commission rules·21 years, 300+ clients
Manual filing review doesn't scale with docket volume
A single regulatory filing means a regulatory affairs analyst checking every exhibit and schedule against a specific commission's filing rules - rules that differ from state to state and change with each rulemaking. At low volume that's manageable. Across filings with multiple state commissions on overlapping deadlines, it's the reason an incomplete exhibit gets discovered after the docket closes, not before.
80%
faster completeness check vs. manual rule-by-rule review
15
fields extracted & cited per filing
100%
of gaps traceable to the specific commission rule
Filing in, cited disposition out
Four steps, every one logged and citable back to the commission's rules.
01
Ingest
Reads the filing directly from your systems
Rate case filing, exhibits, and supporting schedules - read from your regulatory affairs document system. No separate upload step.
Source document
RF-81155 - state PUC rate case, 12 exhibits
02
Match against commission rules
Every exhibit checked against the commission's rules
Test-year data, cost-of-service schedules, and required exhibits - each checked against the specific commission's current filing requirements, not a generic checklist.
Example query
"Does this filing include the cost-of-service schedule required under Rule 4.2?"
03
Cite every gap
No gap without a citation
Each gap links back to the exact commission rule it violates - the citation travels with the finding, not as a separate lookup.
Cited finding
Exhibit G is missing the required cost-of-service schedule - Rule 4.2 requires it for all test-year filings.
cited to Commission Filing Rule 4.2, Exhibit G requirement04
Classify & route
One disposition, one consolidated gap list
The agent returns Complete, Complete-with-gaps, or Incomplete, with a consolidated gap list routed to regulatory counsel before the filing is submitted to the docket.
Disposition
CompleteComplete-with-gapsIncomplete
10 fields, every one cited
What the agent checks in every filing.
Filing summary & disposition
Docket & commission verification
Required-exhibit checklist match
Test-year data completeness
Cost-of-service schedule check
Format & template compliance
Prior filing history with this commission
Consolidated gap list
Commission rule citations
Regulatory counsel review checklist
Typical inputs
What the agent reads, and what it connects to.
Documents
- Rate case filing, exhibits, and schedules
- Commission-specific filing rules and templates
- Prior filings with the same commission
Systems
- Regulatory affairs document management system
- Commission e-filing portal, where applicable
- Document repository
Is this the right fit?
Built for multi-commission filing - not a one-off docket.
✓ Works best for
- Utilities filing with 3+ state commissions
- Regulatory teams standardizing filings against commission-specific rules
- Counsel wanting every gap traceable to a specific rule
Too small for
- A single filing regulatory counsel can check faster than configuring the rules
- Replacing regulatory counsel judgment on filing strategy
- Commissions with no documented, codified filing rules to check against
Grounded in the commission's rule, not a black box
Compliance-first, the same standard every Sphere agent is held to.
The agent requires the commission's current filing rules before it will return a disposition, and every check sits between filing preparation and docket submission - never past it. Regulatory counsel confirms every Incomplete or Complete-with-gaps determination before submission.
Gaps reference the specific commission rule directly - the same audit-trail standard every Sphere agent on the Foundry is held to.
Prerequisites commission rules loaded
The commission's current filing rules are required before a disposition is returned.
Human review required
Regulatory counsel confirms every Incomplete or Complete-with-gaps determination before submission - never fully autonomous.
Regulatory grounding rule-cited
Gaps reference the specific commission rule directly in every filing review.
Foundation Sphere AI Foundry
Access controls and audit trail configured here carry forward to every other agent you deploy.
Frequently asked
Does the Utility Regulatory Filing Agent decide the rate case outcome?
No. It checks filing completeness against commission rules - regulatory counsel handles the substance and strategy of the rate case.
What filing types does it support?
Rate cases and general filings out of the box. Additional filing types can be added during onboarding.
How does it integrate with our document management system?
It reads directly from your regulatory affairs document system or e-filing portal - no separate upload step required. Integration scope is confirmed during deployment planning.
Is every gap traceable to a specific commission rule?
Yes. Every gap cites the specific commission rule it came from - there is no gap without a citation back to the rule.
How is this different from a generic compliance checklist?
It's checked against each specific commission's current rules, not a generic multi-state template that drifts from what any one commission actually requires.
Start here
See it on your own filing
Bring a real filing to the demo. We'll show the completeness check live - gaps, citations, and the disposition, against your commission's own rules.
Looking for a different workflow? Browse the full Agent Catalog.
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