1.
Tips for filing a General Rate Application
Part 1 – Records Management
For Electric Utilities

2.
Visit your Regulator’s website
Your first stop in the learning process is visiting your
Regulator’s website.
In Nova Scotia, Electric Utilities are governed by the Nova
Scotia Utility And Review Board.
View the User’s Guide for Municipal Electric Utilities.

3.
Your Regulator’s role
The UARB is intended to elevate utility performance and
focuses on increased effectiveness and continuous
improvement in meeting customer needs, including cost
control and system reliability and quality objectives.
The NSUARB is responsible for Regulating public utilities by
setting rates and regulations and ensuring that consumers
receive safe and reliable service at a reasonable price.

4.
Key Terms
Rates are the key revenue tool for regulated
utilities. Under legislation, electricity distributors,
are only permitted to charge for their regulated
services through an order issued by the UARB.
The Public Utilities Act allows the recovery of all
reasonable and prudent operating expenses,
annual depreciation expense, and a reasonable
return on rate base.
3 The Board issues Information Requests
("IRs") generally within a two week period.
The Board usually specifies the number of
copies required to be filed. The responses
to the IRs are identified as a pre-filed
exhibit at the public hearing.
4 Pass Through for NS Power Rates
– or “Flow Through” - The Utility can
apply to have the Board approve,
without a hearing, an increase in its
rates to allow the Utility to pass
through the approved NS Power
rates to its customers. Sample
Forms.
1 The Utility files with the Board a copy of
the completed rate study along with copies
of a Petition, Affidavit and Resolution
supporting the application. Sample forms.
2 The Board issues an Order which
specifies the hearing date which is
usually eight to ten weeks following
complete information being filed
with the Board. After the Board has
reviewed all the required
information, it issues an Order
approving the schedule of rates.

5.
Familiarize yourself with current Rates, Rules, and Regulations
The current version of your companies:
• Schedule of Rates
• Rules & Regulations
• Board Orders
Can be found by searching by your company name or Matter
number on the Regulator’s website.
Hint: – Consider comparing competitor and colleague files.

6.
A successful GRA begins with good records management
Set up your files:
1 A unique number (Matter number) will be assigned by the
Regulator for the application.
2 Preface originating folder name by using the unique number
identifier followed by the year of application.
3 Ensure past Matters are organized and accessible.

7.
Recap Past and Current Matters
Consider creating a summary document of historical and current Matters with Quick Links to document files.
Hint: Be sure to highlight outstanding Board Orders.

8.
The filing structure: folders and sub-folders
Note: the originating folder name: M101810 2023 General Rate Application
1 The Originating Folder name includes the unique identifier and year
of filing.
2 Subfolder: Keep Consultant Info handy including Scope of Work,
Contact information and CV’s.
1
3 Subfolder : The Summary Data will form the basis of your study
application.
4 Subfolder : The UARB folder will house your submissions and
Information Requests.
5 Subfolder : Competitor and Colleague Schedule of Rates and Rules
and Regulations.
6
7
Subfolder : Current Rules & Regulations
Subfolder : Current Schedule of Rates Hint: Sub-folders for 3 and 4 are shown on the following page.
2
3
4
5
6
7

9.
The filing structure: Sub-folder - Summary Data
Note: the originating folder name: M101810 2023 General Rate Application
The Summary Data sub-folder will house the data that forms
the basis of your study and application.
Create Sub-folders for each of the Classes of Customers you
provide service to.

10.
The filing structure: Sub-folder - Summary Data cont’d.
Note: the originating folder name: M101810 2023 General Rate Application
Create Sub-folders for each of the following:
The type of information that is required in a rate application
includes: Proposed Rates and Revenue, System Description,
Historical and Projected Financial Information
Hint: The Summary Data folder will have several more sub-
folders which will be discussed in the “Summary Data Tutorial”
(to come).
Hint: The completed rate study must first be presented to
Municipal Council (or an equivalent body) for a resolution
authorizing that the application be filed with the Board for
approval.

11.
The filing structure: Sub-folder – UARB
Note: the originating folder name: M101810 2023 General Rate Application
The UARB (insert your Regulator name here) sub-folder will house all submission files
associated with your application.
1 The Confidentiality Agreement document is necessary to access confidential
documents via the Regulator portal.
2 The Email Distribution or Participant List contains the email addresses for all parties
necessary to be copied when filing submissions.
3 The General Correspondence contains Board Orders and Requests.
4
5 The Hearing folder will have several sub-folders we will discuss in the “Hearing
Preparation Tutorial” (to come).
6 The Information Requests folder will have several sub-folders we will discuss in the
“Information Requests Tutorial” (to come).
1
2
3
4
5
6
7
8
9
The General Rate Application folder contains the final rate application.

12.
The filing structure: Sub-folder – UARB (cont’d)
Note: the originating folder name: M101810 2023 General Rate Application
The UARB (insert your Regulator name here) sub-folder will house all submission files
associated with your application.
7 The Notice of Intervention folder will contain all documents and Information
Requests for Intervenors.
8 The Rebuttal folder contains evidence filed in Rebuttal to Board Council Information
Requests.
9 The Undertakings folder contains submissions for Undertakings as a result of the
Hearing.
1
2
3
4
5
6
7
8
9

13.
Why is good record keeping important?
The UARB expects utilities to present rate applications that are complete
and of high quality.
Information is a primary organizational asset that is needed now and into
the future. Good record keeping ensures files are easily accessible for key
Stakeholders promoting information sharing and collaboration.
Hint: If you can access and trust information, then you can use it to make
more informed decisions and to take appropriate actions.

14.
More questions about General Rate
Applications for Electric Utilities?
Summary Documents Tutorial
Information Requests Tutorial
Hearing Preparation Tutorial