HAR Title 6, Chapter 61, PUC - Rule of Practice & Procedure

DEPARTMENT OF BUDGET AND FINANCE

Repeal of State of Hawaii Public Utilities Commission

Rules of Practice and Procedure before the

Public Utilities Commission, General Order No. 1 and

Adoption of Chapter 6-61, Hawaii Administrative Rules

March 13, 1992

SUMMARY

1. State of Hawaii Public Utilities Commission Rules of Practice and Procedure before the Public Utilities Commission, General Order No. 1 is repealed.

2. Chapter 6-61, Hawaii Administrative Rules, entitled "Rules of Practice and Procedure before the Public Utilities Commission," is adopted.

HAWAII ADMINISTRATIVE RULES

TITLE 6

DEPARTMENT OF BUDGET AND FINANCE

CHAPTER 61

RULES OF PRACTICE AND PROCEDURE

BEFORE THE

PUBLIC UTILITIES COMMISSION

Subchapter 1 General Provisions

'6-61-1 Purpose

'6-61-2 Definitions

'6-61-3 The commission

'6-61-4 Meetings

'6-61-5 Requests for government records

'6-61-6 Government records, inspection, cost of

copies

'6-61-7 Custody of records

'6-61-8 Retention of documents by the commission

''6-61-9 to 11 (Reserved)

Subchapter 2 General Requirements in

Proceedings Before the

Commission

'6-61-12 Appearance before the commission

'6-61-13 Code of ethics

'6-61-14 Former employees

'6-61-15 Time and place for filing documents

'6-61-16 Format for pleadings and other documents

'6-61-17 Verification

'6-61-18 Copies

'6-61-19 Defective documents

'6-61-20 Amended pleadings

'6-61-21 Service of process

'6-61-22 Computation of time

'6-61-23 Enlargement

'6-61-24 Filing fees

''6-61-25 to 27 (Reserved)

Subchapter 3 Agency Hearing Procedures

'6-61-28 Disqualification

'6-61-29 Ex parte communications

'6-61-30 Notice of hearings or meetings

'6-61-31 Order of procedure

'6-61-32 Co-counsel

'6-61-33 Cross-examination

'6-61-34 Limiting number of witnesses

'6-61-35 Waiver of procedures, informal disposition

'6-61-36 Prehearing conference

'6-61-37 Prehearing order

'6-61-38 Requests for subpoenas

'6-61-39 Consolidation or separation

'6-61-40 Substitution of parties

'6-61-41 Motions

'6-61-42 Motion to dismiss

'6-61-43 Rules of evidence

'6-61-44 Rulings

'6-61-45 Prepared testimony

'6-61-46 Documentary evidence

'6-61-47 Official records

'6-61-48 Official notice of facts

'6-61-49 Additional evidence

'6-61-50 Protective orders

'6-61-51 Correction of transcript

''6-61-52 to 54 (Reserved)

Subchapter 4 Intervention, Participation,

Protest and Consumer Advocate

'6-61-55 Intervention

'6-61-56 Participation without intervention

'6-61-57 Time to file

'6-61-58 Protests

'6-61-59 Protests of motor carrier tariff change

'6-61-60 Protests of water carrier tariff change

'6-61-61 Protests of public utility tariff change

'6-61-62 Consumer advocate

''6-61-63 to 65 (Reserved)

Subchapter 5 Complaints and Commission Investigations

'6-61-66 Informal complaints

'6-61-67 Formal complaints

'6-61-68 Answer to formal complaints

'6-61-69 Motion to dismiss or to make more definite

and certain

'6-61-70 Hearing on complaints

'6-66-71 Commission investigation

''6-61-72 to 73 (Reserved)

Subchapter 6 Applications and Petitions Generally

'6-61-74 Contents

'6-61-75 Financial statement

'6-61-76 Incorporation by reference

''6-61-77 to 78 (Reserved)

Subchapter 7 Applications for Certificates of Public Convenience and

Necessity or Permits

'6-61-79 Motor carriers

'6-61-80 Service of motor carrier applications

'6-61-81 Water carriers

'6-61-82 Service of water carrier applications

''6-61-83 to 84 (Reserved)

Subchapter 8 Rate Increase Applications

and Tariff Changes

'6-61-85 General provisions

'6-61-86 Public utility applications to change tariff

provisions

'6-61-87 Requirements for general rate increase

applications by a public utility with

annual gross operating revenues of

$2,000,000 or more

'6-61-88 Requirements for general rates increase

applications by a public utility with

annual gross operating revenues of less

than $2,000,000

'6-61-89 Temporary general rate increase

'6-61-90 Recorded test year data

'6-61-91 Service of completed public utility general

rate increase application

'6-61-92 Waiver

'6-61-93 Motor carrier tariff changes

'6-61-94 Water carrier tariff changes

''6-61-95 to 100 (Reserved)

Subchapter 9 Applications to Issue Stock

or Evidences of Indebtedness,

or to Assume Liabilities

'6-61-101 Contents

''6-61-102 to 104 (Reserved)

Subchapter 10 Applications to Sell, Lease, or Encumber Public Utility, Water or Motor Carrier Property or Rights; to Merge or Consolidate Facilities; or to Acquire Stock of Another Public Utility, Water Carrier, or Other Regulated Company Subject to Commission Jurisdiction

'6-61-105 Contents

'6-61-106 Additional requirements for water and motor

carriers

''6-61-107 to 109 (Reserved)

Subchapter 11 Other Applications and Tariff

Filings not Involving Rate Increases

'6-61-110 Other applications

'6-61-111 Public utility tariff filings

'6-61-112 Short notice filings

''6-61-113 to 116 (Reserved)

Subchapter 12 Post Hearing Procedures

'6-61-117 Briefs

'6-61-118 Oral argument

'6-61-119 Issuance of decisions and orders

'6-61-120 Request for draft decisions or prehearing

orders

'6-61-121 Commission signatures

'6-61-122 Service of decisions and orders

'6-61-123 Effective date

'6-61-124 Motion to set aside submission

'6-61-125 Appeals

''6-61-126 to 128 (Reserved)

Subchapter 13 Post Hearing Procedures for

Hearings Conducted by Hearings Officer

'6-61-129 Recommendations of hearings officer

'6-61-130 Exceptions to hearings officer's report and

recommendations

'6-61-131 Brief opposing exceptions

'6-61-132 Oral argument before the commission

'6-61-133 Commission decision

''6-61-134 to 136 (Reserved)

Subchapter 14 Motions for Reconsideration or Rehearing

'6-61-137 Motion for reconsideration or rehearing

'6-61-138 Effect of filing

'6-61-139 Additional evidence

'6-61-140 Replies to motions

'6-61-141 Successive motions

'6-61-142 Oral argument

''6-61-143 to 145 (Reserved)

Subchapter 15 Rulemaking Proceedings

'6-61-146 Initiation of rulemaking proceedings

'6-61-147 Form and contents of petition

'6-61-148 Action on petition

'6-61-149 Notice of public hearing

'6-61-150 Conduct of public hearing

'6-61-151 Order of public hearing

'6-61-152 Written presentation after public

hearing

'6-61-153 Lobbyists

'6-61-154 Commission action

'6-61-155 Emergency rulemaking

''6-61-156 to 158 (Reserved)

Subchapter 16 Declaratory Orders

'6-61-159 Who may apply

'6-61-160 Declaratory order by commission

'6-61-161 Form and contents

'6-61-162 Commission action

'6-61-163 Dismissal of petition

'6-61-164 Refusal to issue declaratory order

'6-61-165 Request for hearing

'6-61-166 Applicability of order

''6-61-167 to 169 (Reserved)

Subchapter 17 Forms

'6-61-170 Forms

'6-61-2

Historical note. This chapter is based substantially upon the Rules of Practice and Procedure before the Public Utilities Commission of the State of Hawaii, General Order No. 1. [Eff 2/2/78; R ]

SUBCHAPTER 1

GENERAL PROVISIONS

'6-61-1 Purpose. These rules govern practice and procedure before the public utilities commission, State of Hawaii. They shall be liberally construed to secure the just, speedy, and inexpensive determination of every proceeding. Whenever this chapter is silent on a

matter, the commission or hearings officer may refer to the Hawaii Rules of Civil Procedure for guidance.

[Eff ] (Auth: HRS ''91-2, 269-6, 271‑9, 271G‑7) (Imp: HRS '91-2)

'6-61-2 Definitions. As used in this chapter, except as otherwise required by context:

"Administrative director" means the person appointed by the chairperson to be the administrative head of the commission staff.

"Agency hearing" or "hearing" has the same meaning as in section 91-1(6), HRS.

"Applicant" or "petitioner" means a person who files an application seeking permission or authorization which the commission may grant under statutory or other authority delegated to it.

"Chairperson" means the commissioner designated by the governor to be chairperson of the commission.

"Chief clerk" or "deputy clerk" means the person or persons appointed to receive, record, and preserve the records of the commission.

'6-61-2

"Commission" means the public utilities commission of the State.

"Commissioner" means a member of the public utilities commission.

"Consumer advocate" means the director of the department of commerce and consumer affairs.

"Contested case" has the same meaning as in section 91-1(5), HRS.

"General rate increase" means a partial or flat increase in the general level of the rates or charges for revenue purposes or to increase the rate of return. The establishment of a rate or charge for a new service, an adjustment of or a change in a particular rate or charges for the purpose of eliminating inequities, preferences, or discriminations, or increases in rates or charges resulting from an automatic rate adjustment clause are not general rate increases.

"Government records" means the same as in section 92F-3, HRS.

"Hearings officer" means a person appointed as such pursuant to section 269-6, HRS.

"HRS" means the Hawaii Revised Statutes.

"Intervenor" means a person who moves to intervene in a contested case and is admitted as a party.

"Meeting" has the same meaning as in section 92‑2(3), HRS.

"Motor carrier" has the same meaning as in section 271‑4(13), HRS.

"Movant" means a party that moves; a party that makes a motion before this commission; a party that applies for a ruling or an order from this commission.

"Participant" means a person allowed to participate in a proceeding pursuant to section 6‑61‑56.

"Party" has the same meaning as in section 91‑1(3), HRS. Whenever the word "party" is used in this chapter, it also includes a participant where the context requires.

"Person" means and includes individuals, partnerships, corporations, associations, joint stock

'6-61-3

companies, public trusts, organized groups of persons, whether incorporated or not, receivers or trustees of the foregoing, municipalities, including cities, counties, or other political subdivisions of the State, or any agency, authority or instrumentality of the State or of any one or more of the foregoing.

"Presiding officer" means any member of the commission or any person appointed as a hearings officer by the chairperson. Unless otherwise designated, the chairperson is the presiding officer.

"Proceeding" means any matter brought before the commission or initiated by the commission which it has jurisdiction to entertain and dispose.

"Public hearing" means a public hearing described in section 269-16, HRS, or section 91-3, HRS, or a proceeding initiated by the commission, either on its own motion or as required by law, for the purpose of obtaining data, comments, opinions, or statements.

"Public utility" means the same as in section 269‑1, HRS.

"Respondent" means a person subject to any statute administered by the commission or any order or rule issued or promulgated thereunder against whom a complaint is filed or to whom an order or notice is issued by the commission instituting a proceeding or investigation.

"State" means the State of Hawaii.

"Tariff change" means any change or addition to a public utility, motor carrier, or water carrier tariff on file with the commission.

"Water carrier" or "common carrier by water" has the same meaning as in section 271G-5(7), HRS. [Eff ] (Auth: HRS ''91-2, 269-6, 271‑9, 271G‑7) (Imp: HRS ''91-2, 269-1, 271-4, 271G‑5)

'6-61-3 The commission. (a) The office of the commission is at 465 South King Street, Honolulu, Hawaii 96813. All communications to the commission

'6-61-3

shall be sent to this address unless otherwise directed.

(b) The office of the commission shall be open from 7:45 a.m. to 4:30 p.m. daily except Saturdays, Sundays, and legal holidays, unless otherwise provided by statute or executive order.

(c) Official copies of decisions and orders and other commission actions shall be issued under the signature of the chairperson, chief clerk, or other person authorized by the commission. [Eff ] (Auth: HRS ''91-2, 269-6, 271‑9, 271G‑7) (Imp: HRS '' 91-2, 269-3, 271-9, 271G‑7)

'6-61-4 Meetings. (a) The commission may meet and exercise its powers in any part of the State. Except as provided by law, all of its meetings are open to the public. The parliamentary procedure to be utilized by the commission in the conduct of its own meetings, shall be based on the current edition of "Roberts Rules of Order Newly Revised," Scott, Foresman and Company.

(b) Meetings, notice of meetings, and minutes of meetings are governed by part I of chapter 92, HRS.

(c) The commission may remove any person who wilfully disrupts a meeting. [Eff ] (Auth: HRS ''91-2, 269-6, 271-9, 271G-7) (Imp: HRS ''92-3, 92-4, 269-6, 271-9, 271G-7)

'6-61-5 Requests for government records. All requests for government records or for copies of government records or to inspect the government records maintained by the commission shall be directed to the

administrative director, either in writing or in person. [Eff ] (Auth: HRS ''91-2, 269-6, 271‑9, 271G-7) (Imp: HRS ''91-2, 92F-11, 269‑6, 271-9, 271G-7)

'6-61-11

'6-61-6 Government records, inspection, cost of copies. The inspection of government records maintained by the commission is governed by part II, chapter 92F, HRS. Copying of government records maintained by the commission and the costs and fees therefor are governed by section 92-21, HRS. [Eff ] (Auth: HRS ''91-2, 269-6, 271‑9, 271G-7) (Imp: HRS ''91-2, 92-21, 92F-18, 269‑6, 271-9, 271G-7)

'6-61-7 Custody of records. The chief clerk shall have custody of the commission's official records and shall be responsible for the maintenance and custody of the docket files, including transcripts and exhibits, minutes of all commission meetings and decisions, orders, opinions, rules and approved forms. [Eff ] (Auth: HRS ''91-2, 269-6, 271‑9, 271G-7) (Imp: HRS ''91-2, 269-3, 271-9, 271G‑7)

'6-61-8 Retention of documents by the commission. Except as provided by law, all documents filed with or presented to the commission shall remain in the files of the commission. The chairperson may permit the withdrawal of original documents upon submission of copies to replace the originals. The chief clerk shall obtain a receipt indicating withdrawal of any original documents. [Eff ] (Auth: HRS ''91-2, 269-6, 271-9, 271G-7) (Imp: HRS ''91-2, 269-6, 271‑31, 271G‑23)

''6-61-9 to 11 (Reserved)