Automating the Capital General Rate Case Filing Process Using SAP HANA: A Digital Transformation Approach for Regulatory Compliance

Abstract

A General Rate Case (GRC) is a formal regulatory process where a utility company requests approval from a regulatory body—such as the California Public Utilities Commission (CPUC)—to adjust customer rates based on projected costs and revenues. Utilities typically submit GRC filings every three years, presenting detailed financial, operational, and capital data. The goal is to justify rate changes needed to support infrastructure, operations, and returns for investors. The process includes public hearings, stakeholder input, and regulatory review before rates are approved, modified, or denied. GRC filings are complex and labour-intensive, often requiring manual data extraction, analysis, and documentation. Automation tools such as SAP HANA can significantly streamline this process by consolidating data from multiple sources, performing cost allocations, validating inputs, and generating regulatory reports. Automation reduces errors, saves time, and ensures better compliance. Key components of GRC preparation include capital data (financial, physical, human, and intellectual), budget codes for tracking expenditures, and workpaper groups that organize supporting documents. Witness areas define expert testimony topics, while special remaps update compliance programs. GRC tools facilitate risk assessment, policy management, and reporting, supporting both GRC-specific filings and broader utility compliance efforts. Automating GRC processes enhances transparency, accuracy, and regulatory responsiveness.