reglab/statecodes huggingface dataset:
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-108 - Scope of audit and report of independent certified public accountant

Current through June, 2024
(a) Financial statements furnished pursuant
			 to section 16-185-104 shall be examined by the independent certified public
			 accountant.
(b) The audit of the
			 insurer's financial statements shall be conducted in accordance with generally
			 accepted auditing standards. In accordance with AU section 314 of the
			 Professional Standards of the American Institute of Certified Public
			 Accountants, Understanding the Entity and its Environment and Assessing the
			 Risks of Material Misstatement, as amended or replaced, the independent
			 certified public accountant shall obtain an understanding of internal control
			 sufficient to plan the audit. To the extent required by AU 314, for those
			 insurers required to file a management's report of internal control over
			 financial reporting pursuant to section 16-185-115, Hawaii Administrative
			 Rules, the independent certified public accountant should consider, as that
			 term is defined in Statement on Auditing Standards No. 102, Defining
			 Professional Requirements in Statements on Auditing Standards as amended or
			 replaced, the most recently available report in planning and performing the
			 audit of the statutory financial statements. Consideration shall be given to
			 the procedures illustrated in the Financial Condition Examiners Handbook
			 promulgated by the National Association of Insurance Commissioners as the
			 independent certified public accountant deems necessary.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-109 - Notification of adverse financial condition

Current through June, 2024
(a) The insurer
			 required to furnish the annual audited financial report shall require the
			 independent certified public accountant to report, in writing, within five
			 business days to the board of directors or its audit committee, any
			 determination by the independent certified public accountant that the insurer
			 has materially misstated its financial condition as reported to the
			 commissioner as of the balance sheet date currently under audit or that the
			 insurer does not meet the minimum capital and surplus requirement of the
			 Hawai`i insurance code as of that date An insurer that has received a report
			 pursuant to this paragraph shall forward a copy of the report to the
			 commissioner within five business days of receipt of the report and shall
			 provide the independent certified public accountant making the report with
			 evidence of the report being furnished to the commissioner If the independent
			 certified public accountant fails to receive the evidence within the required
			 five business day period, the independent certified public accountant shall
			 furnish to the commissioner a copy of its report within the next five business
			 days.
(b) No independent certified
			 public accountant shall be liable in any manner to any person for any statement
			 made in connection with the above paragraph if the statement is made in good
			 faith in compliance with subsection (a).
(c) If the accountant, subsequent to the date
			 of the audited financial report filed pursuant to this chapter, becomes aware
			 of facts that might have affected the report, the accountant shall take
			 appropriate action as prescribed in volume 1, section AU 561 of the
			 Professional Standards of the American Institute of Certified Public
			 Accountants.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-110 - Communication of internal control related matters noted in an audit

Current through June, 2024
(a) In addition to the annual audited
			 financial report, each insurer shall furnish the commissioner with a written
			 communication as to any unremediated material weaknesses in its internal
			 control over financial reporting noted during the audit Such communication
			 shall be prepared by the accountant within sixty days after the filing of the
			 annual audited financial report, and shall contain a description of any
			 unremediated material weakness as of December 31 immediately preceding, so as
			 to coincide with the audited financial report discussed in section 16-185-103,
			 Hawaii Administrative Rules, in the insurer's internal control over financial
			 reporting noted by the accountant during the course of their audit of the
			 financial statements The communication should state if no unremediated material
			 weaknesses were noted
(b) The
			 insurer is required to provide a description of remedial actions taken or
			 proposed to correct unremediated material weaknesses, if the actions are not
			 described in the accountant's communication.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-111 - Accountant's letter of qualifications

Current through June, 2024
The accountant shall furnish the insurer in connection with,
				and for inclusion in, the filing of the annual audited financial report, a
				letter stating:
(a) That the
			 accountant is independent with respect to the insurer and conforms to the
			 standards of the accounting profession, as contained in the Code of
			 Professional Ethics of the American Institute of Certified Public Accountants,
			 chapter
			 466, HRS, chapter
			 16-71, Hawaii Administrative Rules,
			 and the Hawai`i Board of Public Accountancy, or similar statutes, rules, and
			 code of conduct regulating the practice of accountancy in the state in which
			 the accountant is licensed to practice;
(b) The background and experience in general,
			 and the experience in audits of insurers of the staff assigned to the
			 engagement and whether each is an independent certified public accountant.
			 Nothing within this chapter shall be construed as prohibiting the accountant
			 from utilizing such staff as he or she deems appropriate where that use is
			 consistent with the standards prescribed by generally accepted auditing
			 standards;
(c) That the accountant
			 understands the annual audited financial report and his or her opinion thereon
			 will be filed in compliance with this chapter and that the commissioner will be
			 relying on this information in the monitoring and regulation of the financial
			 position of insurers;
(d) That the
			 accountant consents to the requirements of section 16-185-112 and consents and
			 agrees to make available for review by the commissioner, or the commissioner's
			 designee or appointed agent, the workpapers as defined in section 16-185-112,
			 Hawaii Administrative Rules;
(e) A
			 representation that the accountant is properly licensed by an appropriate state
			 licensing authority and is a member in good standing in the American Institute
			 of Certified Public Accountants; and
(f) A representation that the accountant is
			 in compliance with the requirements of section 16-185-106, Hawaii
			 Administrative Rules.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-112 - Definition, availability, and maintenance of independent certified public accountants workpapers

Current through June, 2024
(a) Workpapers are
			 the records kept by the independent certified public accountant of the
			 procedures followed, the tests performed, the information obtained, and the
			 conclusions reached pertinent to the accountant's audit of the financial
			 statements of an insurer. Accordingly, workpapers may include audit planning
			 documentation, work programs, analyses, memoranda, letters of confirmation and
			 representation, abstracts of company documents and schedules, or commentaries
			 prepared or obtained by the independent certified public accountant in the
			 course of his or her audit of the financial statements of an insurer and which
			 support the accountant's opinion.
(b) Every insurer required to file an audited
			 financial report pursuant to this chapter, shall require the accountant to make
			 available for review by insurance division examiners, all workpapers prepared
			 in the conduct of the accountant's audit and any communications related to the
			 audit between the accountant and the insurer, at the offices of the insurer, at
			 the insurance division or at any other reasonable place designated by the
			 commissioner. The insurer shall require that the accountant retain the audit
			 workpapers and communications until the insurance division has filed a report
			 on examination covering the period of the audit but no longer than seven years
			 from the date of the audit report.
(c) In the conduct of the aforementioned
			 periodic review by the insurance division examiners, it shall be agreed that
			 photocopies of pertinent audit workpapers may be made and retained by the
			 division. Such reviews by the division examiners shall be considered
			 investigations and all working papers and communications obtained during the
			 course of such investigations shall be afforded the same confidentiality as
			 other examination workpapers generated by the division.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-113.1 - Internal audit function requirements

Current through June, 2024
(a) The insurer or
			 group of insurers shall establish an internal audit function providing
			 independent, objective, and reasonable assurance to the audit committee and
			 insurer management regarding the insurer's governance, risk management, and
			 internal controls This assurance shall be provided by performing general and
			 specific audits, reviews, and tests and by employing other techniques deemed
			 necessary to protect assets, evaluate control effectiveness and efficiency, and
			 evaluate compliance with policies and regulations.
(b) In order to ensure that internal auditors
			 remain objective, the internal audit function must be organizationally
			 independent. Specifically, the internal audit function will not defer ultimate
			 judgement on audit matters to others, and shall appoint an individual to head
			 the internal audit function who will have direct and unrestricted access to the
			 board of directors. Organizational independence does not preclude
			 dual-reporting relationships.
(c)
			 The head of the internal audit function shall report to the audit committee
			 regularly, but no less than annually, on the periodic audit plan, factors that
			 may adversely impact the internal audit function's independence or
			 effectiveness, material findings from completed audits, and the appropriateness
			 of corrective actions implemented by management as a result of audit
			 findings.
(d) If an insurer is a
			 member of an insurance holding company system or included in a group of
			 insurers, the insurer may satisfy the internal audit function requirements set
			 forth in this section at the ultimate controlling parent level, an intermediate
			 holding company level, or the individual legal entity level.
(e) An insurer is exempt from the
			 requirements of this section if:
(1) The
			 insurer has annual direct written and unaffiliated assumed premium, including
			 international direct and assumed premium but excluding premiums reinsured with
			 the Federal Crop Insurance Corporation and Federal Flood Program, less than
			 $500,000,000; and
(2) If the
			 insurer is a member of a group of insurers that has annual direct written and
			 unaffiliated assumed premium including international direct and assumed
			 premium, but excluding premiums reinsured with the Federal Corp Insurance
			 Corporation and Federal Flood Program, less than $1,000,000,000.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-114 - Conduct of insurer in connection with the preparation of required reports and documents

Current through June, 2024
(a) No director or
			 officer of an insurer shall, directly or indirectly:
(1) Make or cause to be made a materially
			 false or misleading statement to an accountant in connection with any audit,
			 review, or communication required under this chapter; or
(2) Omit to state, or cause another person to
			 omit to state, any material fact necessary, in light of the circumstances under
			 which the statements were made, so as to mislead an accountant in connection
			 with any audit, review, or communication required under this chapter.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-116 - Exemptions and effective dates

Current through June, 2024
(a) Upon written
			 application of any insurer, the commissioner may grant an exemption from
			 compliance with any or all provisions of this chapter if the commissioner
			 finds, upon review of the application, that compliance with this chapter would
			 constitute a financial or organizational hardship upon the insurer An exemption
			 may be granted at any time and from time to time for a specified period or
			 periods Within ten days from a denial of an insurer's written request for an
			 exemption from this chapter, the insurer may request in writing a hearing on
			 its application for an exemption The hearing shall be held in accordance with
			 section
			 431:2-308,
			 HRS.
(b) Domestic insurers
			 retaining a certified public accountant on the effective date of this chapter
			 who qualify as independent shall comply with this chapter for the year ending
			 December 31, 2010, and each year thereafter unless the commissioner permits
			 otherwise.
(c) Domestic insurers
			 not retaining a certified public accountant who qualifies as independent on the
			 effective date of this chapter may meet the following schedule for compliance
			 unless the commissioner permits otherwise:
(1) As of December 31, 2010, file with the
			 commissioner an audited financial report; and
(2) For the year ending December 31, 2010,
			 and each year thereafter, such insurers shall file with the commissioner all
			 reports and communication required by this chapter.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-117 - Canadian and British companies

Current through June, 2024
(a) In the case of
			 Canadian and British insurers, the annual audited financial report shall be
			 defined as the annual statement of total business on the form filed by such
			 companies with their supervision authority duly audited by an independent
			 chartered accountant.
(b) For such
			 insurers, the letter required in section 16-185-105(b), Hawaii Administrative
			 Rules, shall state that the accountant is aware of the requirements relating to
			 the annual audited financial report filed with the commissioner pursuant to
			 section 16-185-103, Hawaii Administrative Rules, and shall affirm that the
			 opinion expressed is in conformity with those requirements.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 185 - ANNUAL AUDITED FINANCIAL REPORTING › Section 16-185-118 - Severability provision

Current through June, 2024
If any section or portion of a section of this chapter or its
				applicability to any person or circumstance is held invalid by a court, the
				remainder of the chapter or the applicability of the provision to any other
				person or circumstance shall not be affected
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 186 - CORPORATE GOVERNANCE ANNUAL DISCLOSURE › Section 16-186-101 - Purpose and authority

Current through June, 2024
The purpose of these rules is to set forth the procedures for
				filing and the required contents of the corporate governance annual disclosure,
				deemed necessary by the Commissioner and authorized by sections
				431:2-201
				and
				431:3G-104.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 186 - CORPORATE GOVERNANCE ANNUAL DISCLOSURE › Section 16-186-102 - Definitions

Current through June, 2024
For purposes of this chapter:
"Commissioner" means the insurance commissioner of the
				State.
"Insurance group" means the insurers and affiliates included
				within an insurance holding company system as defined in section
				431:11-102,
				HRS.
"Insurer" shall have the same meaning as set forth in section
				431:3G-102, HRS,
				except that it shall not include agencies, authorities, or instrumentalities of
				the United States, its possessions and territories, the Commonwealth of Puerto
				Rico, the District of Columbia, or a state or political subdivision of a
				state.
"Senior management" shall mean any corporate officer
				responsible for reporting information to the board of directors at regular
				intervals or providing this information to shareholders or regulators and shall
				include, for example and without limitation, the chief executive officer, chief
				financial officer, chief operations officer, chief procurement officer, chief
				legal officer, chief information officer, chief technology officer, chief
				revenue officer, chief visionary officer, or any other "C" level executive.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 186 - CORPORATE GOVERNANCE ANNUAL DISCLOSURE › Section 16-186-104 - Contents of corporate governance annual disclosure

Current through June, 2024
(a) The
			 insurer or insurance group shall be descriptive as possible in completing the
			 corporate governance annual disclosure, with inclusion of attachments or
			 example documents that are used in the governance process, since these may
			 provide a means to demonstrate the strengths of their governance framework and
			 practices.
(b) The corporate
			 governance annual disclosure shall describe the insurer's or insurance group's
			 corporate governance framework and structure including consideration of the
			 following:
(1) The board and various
			 committees thereof ultimately responsible for overseeing the insurer or
			 insurance group and the level at which that oversight occurs, such as the
			 ultimate control level, an intermediate holding company level, or an individual
			 legal entity level. The insurer or insurance group shall describe and discuss
			 the rationale for the current board size and structure; and
(2) The duties of the board and each of its
			 significant committees and how they are governed, such as bylaws, charters, or
			 informal mandates, as well as how the board's leadership is structured,
			 including a discussion of the roles of the chief executive officer and chairman
			 of the board within the organization.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 186 - CORPORATE GOVERNANCE ANNUAL DISCLOSURE › Section 16-186-105 - Severability clause

Current through June, 2024
If any provision of these regulations, or the application
				thereof to any person or circumstance, is held invalid, such determination
				shall not affect other provisions or applications of these regulations which
				can be given effect without the invalid provision or application, and to that
				end the provisions of these regulations are severable"
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 187 - TERM AND UNIVERSAL LIFE INSURANCE RESERVE FINANCING › Section 16-187-101 - Purpose

Current through June, 2024
The purpose of this chapter is to conform to national standards
				governing reserve financing arrangements pertaining to life insurance policies
				containing guaranteed nonlevel gross premiums, guaranteed nonlevel benefits and
				universal life insurance policies with secondary guarantees; and to ensure
				that, with respect to each such financing arrangement, funds consisting of
				primary security and other security, as defined in section 16-187-104, are held
				by or on behalf of ceding insurers in the forms and amounts required herein. In
				general, reinsurance ceded for reserve financing purposes has one or more of
				the following characteristics: some or all of the assets used to secure the
				reinsurance treaty or to capitalize the reinsurer (1) are issued by the ceding
				insurer or its affiliates; or (2) are not unconditionally available to satisfy
				the general account obligations of the ceding insurer; or (3) create a
				reimbursement, indemnification or other similar obligation on the part of the
				ceding insurer or any if its affiliates (other than a payment obligation under
				a derivative contract acquired in the normal course and used to support and
				hedge liabilities pertaining to the actual risks in the policies ceded pursuant
				to the reinsurance treaty).
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 187 - TERM AND UNIVERSAL LIFE INSURANCE RESERVE FINANCING › Section 16-187-102 - Applicability

Current through June, 2024
This chapter shall apply to reinsurance treaties that cede
				liabilities pertaining to covered policies, as that term is defined in section
				16-187-104, issued by any life insurance company domiciled in this state. This
				chapter and chapter
				168, shall both apply to such
				reinsurance treaties; provided, that in the event of a direct conflict between
				the provisions of this chapter and chapter
				168, the provisions of this chapter
				shall apply, but only to the extent of the conflict.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 187 - TERM AND UNIVERSAL LIFE INSURANCE RESERVE FINANCING › Section 16-187-103 - Exemptions

Current through June, 2024
This chapter shall not apply to the following:
(1) Reinsurance of:
(A) Policies that satisfy the criteria for
			 exemption set forth in section
			 16-171-905(f)
			 or (g); and which are issued before the later
			 of:
(i) The effective date of this chapter,
			 and
(ii) The date on which the
			 ceding insurer begins to apply the provisions of VM-20 to establish the ceded
			 policies' statutory reserves, but in no event later than January 1,
			 2020;
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 187 - TERM AND UNIVERSAL LIFE INSURANCE RESERVE FINANCING › Section 16-187-104 - Definitions

Current through June, 2024
For the purposes of this chapter:
"Actuarial method" means the methodology used to determine the
				required level of primary security, as described in section 16-187-105.
"Covered policies" means the following: subject to the
				exemptions described in section 16-187-103, covered policies are those
				policies, other than grandfathered policies, of the following policy
				types:
(1) Life insurance policies with guaranteed nonlevel gross
				premiums and/or guaranteed nonlevel benefits, except for flexible premium
				universal life insurance policies; or,
(2) Flexible premium universal life insurance policies with
				provisions resulting in the ability of a policyholder to keep a policy in force
				over a secondary guarantee period.
"Grandfathered policies" means covered policies that
				were:
(1) Issued prior to January 1, 2015; and
(2) Ceded, as of December 31, 2014, as part of a reinsurance
				treaty that would not have met one of the exemptions set forth in section
				16-187-103 had that section then been in effect.
"Non-covered policies" means any policy that does not meet the
				definition of covered policies, including grandfathered policies.
"Required level of primary security" means the dollar amount
				determined by applying the actuarial method to the risks ceded with respect to
				covered policies, but not more than the total reserve ceded.
"Primary security" means the following forms of
				security:
(1) Cash meeting the requirements of section
				431:4A-102(1),
				HRS;
(2) Securities listed by the Securities Valuation Office
				meeting the requirements of section
				431:4A-102(2),
				HRS, but excluding any synthetic letter of credit, contingent note,
				credit-linked note or other similar security that operates in a manner similar
				to a letter of credit, and excluding any securities issued by the ceding
				insurer or any of its affiliates; and
(3) For security held in connection with funds-withheld and
				modified coinsurance reinsurance treaties:
(A) Commercial loans in good standing of CM3 quality and
				higher;
(B) Policy loans; and
(C) Derivatives acquired in the normal course and used to
				support and hedge liabilities pertaining to the actual risks in the policies
				ceded pursuant to the reinsurance treaty.
"Other security" means any security acceptable to the
				commissioner other than security meeting the definition of primary
				security.
"Valuation manual" means the valuation manual adopted by the
				National Association of Insurance Commissioners as described in section
				431:5-307(o)(2)(A),
				HRS, with all amendments adopted by the National Association of Insurance
				Commissioners that are effective for the financial statement date on which
				credit for reinsurance is claimed.
"VM-20" means "requirements for principle-based reserves for
				life products," including all relevant definitions, from the valuation
				manual.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 187 - TERM AND UNIVERSAL LIFE INSURANCE RESERVE FINANCING › Section 16-187-106 - Valuation used for purposes of calculations

Current through June, 2024
For the purposes of both calculating the required level of
				primary security pursuant to the actuarial method and determining the amount of
				primary security and other security, as applicable, held by or on behalf of the
				ceding insurer, the following shall apply:
(1) For assets, including any such assets
			 held in trust, that would be admitted under the National Association of
			 Insurance Commissioners Accounting Practices and Procedures Manual if they were
			 held by the ceding insurer, the valuations are to be determined according to
			 statutory accounting procedures as if such assets were held in the ceding
			 insurer's general account and without taking into consideration the effect of
			 any prescribed or permitted practices; and
(2) For all other assets, the valuations are
			 to be those that were assigned to the assets for the purpose of determining the
			 amount of reserve credit taken. In addition, the asset spread tables and asset
			 default cost tables required by VM-20 shall be included in the actuarial method
			 if adopted by the National Association of Insurance Commissioners' Life
			 Actuarial (A) Task Force no later than the December 31st on or immediately
			 preceding the valuation date for which the required level of primary security
			 is being calculated. The tables of asset spreads and asset default costs shall
			 be incorporated into the actuarial method in the manner specified in
			 VM-20.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 187 - TERM AND UNIVERSAL LIFE INSURANCE RESERVE FINANCING › Section 16-187-109 - Prohibition against avoidance

Current through June, 2024
No insurer that has covered policies as to which this chapter
				applies (as set forth in section 16-187-102) shall take any action or series of
				actions, or enter into any transaction or arrangement or series of transactions
				or arrangements if the purpose of such action, transaction or arrangement or
				series thereof is to avoid the requirements of this chapter, or to circumvent
				its purpose and intent, as set forth in section 16-187-101.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-1 - Purpose, scope, and construction

Current through June, 2024
This chapter is intended to provide uniform rules of
				  administrative procedure to govern all proceedings brought before any authority
				  of the department of commerce and consumer affairs, State of Hawaii, the
				  purpose of which is to obtain:
(1) A
				determination of any contested or controverted matter within the authority's
				jurisdiction, through an evidentiary hearing;
(2) A declaration as to the applicability,
				with respect to a factual situation, of any rule or order of the authority or
				of any statute which the authority is required to administer or enforce;
				or
(3) The adoption, modification,
				or repeal of any rule of the authority which is initiated by petition.
This chapter shall be construed to secure the just,
				  equitable, speedy, and inexpensive resolution of matters brought before the
				  authority. Whenever this chapter is silent on a matter, the authority or
				  hearings officer may refer to the Hawaii Rules of Civil Procedure for
				  guidance.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-3 - Commencement of proceedings

Current through June, 2024
A proceeding shall commence by the filing of a petition for
				  a permitted relief with the authority or hearings officer. Upon the filing of a
				  petition, the authority or hearings officer shall docket the petition and
				  assign a docket number to the petition.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-4 - Legal counsel

Current through June, 2024
(a) A party, at the
				party's own expense, may be represented by legal counsel at any stage of the
				proceeding before the authority or hearings officer.
(b) Substitution of legal counsel shall be
				effective upon filing of a notice of the substitution by the party
				represented.
(c) Withdrawal of
				legal counsel in the absence of a concurrent substitution shall be effective
				only upon the approval of the authority or hearings officer and shall be
				subject to the guidelines of DR 2-110 of the Code of Professional
				Responsibility and other applicable law.
(d) No party shall substitute or withdraw
				legal counsel for the purpose of delaying a proceeding. Substitution or
				withdrawal of counsel less than thirty days before the hearing shall not be
				considered sufficient reason to continue the hearing, unless good cause is
				shown.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-5 - Individual representing party

Current through June, 2024
When an individual, acting in a representative capacity on
				  behalf of a party, appears in a proceeding or signs a document submitted to the
				  authority or hearings officer, that personal appearance or signature shall
				  constitute a representation that the individual is lawfully authorized and
				  qualified to so act. The individual at any time, however, may be required by
				  the authority or hearings officer to furnish proof of authorization and
				  qualification to act in that capacity.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-6 - Substitution of parties

Current through June, 2024
Upon motion and for good cause shown, substitution of
				  parties may be ordered provided that the substitution shall:
(1) Be conducive to effectuating the ends of
				justice;
(2) Not unduly delay the
				proceeding; and
(3) Not otherwise
				unduly harass, hinder, or prejudice the rights of any party.
In the case of the death or legal incapacity of any party,
				  substitution may be ordered without the necessity of filing a motion
				  therefor.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-7 - Intervention

Current through June, 2024
Upon timely motion and at the discretion of the authority or
				  the hearings officer, the department or any person may be permitted to
				  intervene and be admitted as a party in a proceeding before the authority or
				  hearings officer if the department or that person has a substantial interest in
				  the outcome of the proceeding which is not protected by the interests of any of
				  the parties, or the intervention shall be conducive to effectuating the ends of
				  justice and to achieving the goals and purposes of the authority; provided that
				  no intervention shall be permitted if the intervention shall unduly delay the
				  proceeding or harass, hinder, or prejudice the rights of any party to the
				  proceeding. The complainant in a disciplinary case, however, shall not be
				  permitted to intervene or be admitted as a party.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-8 - Consolidation

Current through June, 2024
The authority or hearings officer sua sponte, or upon any
				  party's motion timely made and for good cause shown, may consolidate two or
				  more proceedings which involve substantially the same issues, arise out of the
				  same general transaction, or involve the same person or persons, provided the
				  consolidation shall be conducive to effectuating the ends of justice and shall
				  not unduly delay the proceedings or hinder, harass, or prejudice any
				  party.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-9 - Format and certification of pleadings

Current through June, 2024
(a) Petitions,
				motions, and other pleadings shall be typed or printed in ten or twelve point
				pica or equivalent type size upon good quality paper,
				8-1/2 x 11
				inches in size and of at least sixteen weight, except that documentary exhibits
				may be larger, if folded to the size of the pleadings to which they are
				attached.
(b) All copies shall be
				legible on paper
				8-1/2 x 11
				inches in size and of at least sixteen weight. No "wet" type copies shall be
				accepted.
(c) The first page of
				every pleading shall set forth the name, address, and phone number of the
				party, the party's attorney, if any, the title of the particular pleading, the
				docket number, and the name of the proceeding.
(d) All pleadings shall be signed in black or
				other photo-reproduceable ink by the party filing the pleadings or by the
				party's authorized agent. The signature shall constitute certification that the
				person so signing has read the pleading and that to the best of the person's
				knowledge, information, and belief, the pleading is true or has good grounds to
				support it and is not submitted for the purpose of hindering, harassing, or
				delaying any party or proceeding.
(e) Unless otherwise provided, all pleadings,
				motions, memoranda, and other documents shall be filed with the authority,
				except that when a petition has been assigned to a hearings officer, all
				pleadings, motions, memoranda, and other documents shall be filed with the
				hearings officer.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-12 - Service, generally

Current through June, 2024
(a) Unless
				otherwise provided by this chapter or by other applicable law, whenever service
				is required to be made on any party to a proceeding before the authority, the
				service shall be made personally or by first class mail, the document to be
				served at the party's last known address or to the party's attorney of record
				or to any other individual representing the party in the proceeding.
(b) If personal service or service by mail is
				unsuccessful the authority or hearings officer may authorize service by
				publication if permitted by statute. The authority or hearings officer may
				require that personal service be attempted prior to permitting service by
				publication. After service by publication has been authorized, whenever service
				is required to be made on that party thereafter, service by first class mail to
				the party's last known address shall be sufficient.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-13 - Service by whom

Current through June, 2024
(a) Unless otherwise provided by this
				chapter, a party filing a pleading, motion, memorandum, document, or other
				paper shall cause a copy of the pleading, motion, memorandum, document, or
				other paper to be served upon each of the other parties to the proceeding, or
				upon any agent or attorney representing the other party. The party shall file a
				certificate of service.
(b) The
				authority or hearings officer may cause each respondent to be served with a
				copy of the petition, or the authority or hearings officer may require the
				petitioner to serve each respondent with a copy of the petition and to file a
				certificate of service.
(c) The
				authority or hearings officer may cause the notice of hearing to be served upon
				the parties, or the authority or hearings officer may require the petitioner to
				serve notice upon the other parties and to file a certificate of
				service.
(d) Unless otherwise
				provided by this chapter, the authority shall cause to be served all notices,
				documents, orders, and other papers issued by it.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-210-14 - Time

Current through June, 2024
(a) Unless otherwise provided by statute or
				rule, in computing any period of time prescribed or allowed by this chapter,
				the day of the act, event, or default after which the designated period of time
				is to run, shall not be included. The last day of the period so computed shall
				be included unless it is a Saturday, Sunday, or legal holiday in the State, in
				which event the period runs until the next day which is neither a Saturday,
				Sunday, nor a holiday. Intermediate Saturdays, Sundays, and holidays shall not
				be included in a computation when the period of time prescribed or allowed is
				seven days or less. A half holiday shall not be considered a holiday for the
				purpose of these computations.
(b)
				The hours of a day during which documents will be accepted for filing by the
				authority or hearings officer shall be those specified in section 80-1,
				HRS.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-15 - Extensions of time

Current through June, 2024
Unless otherwise provided, the authority or hearings officer
				  may extend the time within which any action shall be taken at the request of
				  any party. The authority or hearings officer, in their sole discretion, may
				  require that the extension be stipulated to by all parties to the proceeding or
				  that the request be by motion for good cause shown as to why the extension
				  should be granted.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-16 - Motions

Current through June, 2024
(a) An application for any relief or order
				shall be by motion which, unless made during a hearing, shall be made in
				writing, shall state with particularity the grounds therefor, and shall set
				forth the relief or order sought.
(b) Motions referring to facts not of record
				shall be supported by affidavits, and if involving a question of law shall be
				accompanied by a memorandum in support.
(c) If a hearing is held on the motion, the
				party filing the motion shall serve a copy of the motion and notice of hearing
				on the motion upon all parties not later than seventy-two hours before the
				hearing and the opposing party shall file and serve any counter affidavits and
				memorandum in opposition not less than twenty-four hours before the
				hearing.
(d) Motions shall be filed
				with the authority except that after a petition has been transferred to a
				hearings officer, all motions shall be filed with and decided by the hearings
				officer.
(e) Failure to comply with
				the requirements of this section may be the basis for denial of any
				motion.
(f) The decision on the
				motion may be made orally at the time of the hearing on the motion, or in
				writing, or as part of the authority's decision or the hearings officer's
				recommended decision.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-17 - Powers of the authority or hearings officer in conducting hearing

Current through June, 2024
Unless otherwise provided by law, the authority or hearings
				  officer shall have the powers, in conducting a hearing, without
				  limitation:
(1) To hold hearings and
				issue notices;
(2) To administer
				oaths and affirmations;
(3) To
				consolidate hearings or sever proceedings, provided that those actions shall be
				conducive to effectuating the ends of justice and shall not unduly delay the
				proceedings or hinder, harass, or prejudice any party;
(4) To subpoena and examine
				witnesses;
(5) To issue
				subpoenas;
(6) To rule upon offers
				of proof, to receive relevant evidence, and to exclude evidence which is
				irrelevant, immaterial, repetitious, cumulative, or merely scandalous and
				accordingly may restrict lines of questioning or testimony;
(7) To regulate the course and conduct of the
				hearing;
(8) To regulate the manner
				of any examination so as to prevent the needless and unreasonable harassment,
				intimidation, or embarrassment of any witness or party at the
				hearing;
(9) To remove disruptive
				individuals, including any party, legal counsel, witness, or
				observer;
(10) To hold conferences,
				including prehearing conferences, before or during the hearing, for the
				settlement or simplification of issues;
(11) To rule on motions and to dispose of
				procedural matters;
(12) To certify
				any question to the authority for its consideration and disposition;
(13) To submit in writing any report or
				recommended decision together with the findings of fact and conclusions of law
				and a recommended order to the authority for its consideration and final
				disposition;
(14) To dispose of any
				other matter that normally and properly arises in the course of the proceedings
				and to take any action authorized by this chapter, chapter
				91, HRS, or any other related laws;
				and
(15) To examine, after notice
				to all parties, any site or tangible evidence relevant to the case.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-18 - Subpoenas

Current through June, 2024
(a) The authority or hearings officer, at the
				request of a party, shall have the power to issue subpoenas requiring the
				attendance of witnesses or the production of documents at the hearing. The
				authority or hearings officer may require that any request for the issuance of
				a subpoena identify with particularity the person to be subpoenaed or the
				documents desired. Witnesses summoned shall be paid the same fees and mileage
				as are paid witnesses in courts in the State and the fees and mileage shall be
				paid by the party at whose instance the subpoena issues.
(b) Upon motion timely made, or sua sponte,
				the authority or hearings officer may:
(1)
				Quash or modify the subpoena if it is unreasonable and oppressive; or
(2) Condition denial of the motion upon
				advancement by the requesting party of the costs of producing the
				documents.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-19 - Absence of hearings officer

Current through June, 2024
When a petition has been assigned to a hearings officer for
				  hearing or further proceedings, the powers and duties to be performed by the
				  hearings officer in connection with the proceeding, without abatement of the
				  proceeding, may be assigned to another hearings officer, provided no hearings
				  officer shall render a report with recommendations to the authority for its
				  consideration and disposition unless that hearings officer was present at
				  opening and closing arguments and all presentations of evidence concerning
				  those matters.
Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 201 - ADMINISTRATIVE PRACTICE AND PROCEDURE › Subchapter 1 - GENERAL PROVISIONS › Section 16-201-20 - Disqualification of member of authority or hearings officer

Current through June, 2024
(a)
				No matter shall be heard by a member of the authority or by a hearings officer
				who:
(1) Has any direct pecuniary interest in
				the matter being heard;
(2) Is
				related within the third degree by blood or marriage to any party to the
				proceeding or any party's representative or attorney;
(3) Has participated in the investigation
				preceding the institution of the proceeding or has participated in the
				development of the evidence to be introduced in the proceeding; or
(4) Has a personal bias or prejudice
				concerning a party or personal knowledge of disputed evidentiary facts
				concerning the proceeding which will prevent a fair hearing by the member of
				the authority or hearings officer.