reglab/statecodes huggingface dataset:
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-1 - Registration procedures for investment advisers and investment adviser representatives

Current through Register Vol. 43, No. 28, July 11, 2024
(a) General
					provisions.
(1) Each applicant shall be at
					least 18 years of age. If the applicant is not an individual, then the
					directors, officers, managing partners, or managing members of the applicant
					shall be at least 18 years of age.
(2) Each applicant shall be registered or
					qualified to engage in business as an investment adviser or investment adviser
					representative in the state of the applicant's principal place of
					business.
(3) Each registered
					investment adviser shall maintain registration under the act for at least one
					investment adviser representative.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-2 - Investment advisers, investment adviser representatives, and federal covered investment advisers; registration fees

Current through Register Vol. 43, No. 28, July 11, 2024
(a) The fee for
			 initial registration or renewal of the registration of an investment adviser
			 shall be $100.
(b) The fee for
			 initial registration or renewal of the registration of an investment adviser
			 representative shall be $60.
(c)
			 The fee for an initial notice filing or a renewal notice filing for a federal
			 covered investment adviser shall be $100.
(d) The IARD and the CRD shall be authorized
			 to receive and store filings and to collect the fees specified in this
			 regulation from investment advisers, investment adviser representatives, and
			 federal covered investment advisers on behalf of the administrator.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-4 - Recordkeeping requirements for investment advisers

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Definitions.
			 For purposes of this regulation, the following definitions shall apply:
(1) "Control" means the power to exercise a
			 controlling influence over the management or policies of a company, unless the
			 power is solely the result of an official position with the company. Each
			 person who owns beneficially, either directly or through one or more controlled
			 companies, more than 25 percent of the voting securities of a company shall be
			 presumed to control the company.
(2) "Discretionary power" shall not include
			 discretion regarding the price or the time at which a transaction is to be
			 effected if the client has directed or approved the purchase or sale of a
			 definite amount of a particular security before the order is given by the
			 investment adviser.
(3)
			 "Investment supervisory services" means the giving of continual advice about
			 the investment of funds on the basis of each client's individual needs.
(4) "Solicitor" means any person
			 or entity who, for compensation, acts as an agent of an investment adviser in
			 referring potential clients.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-6 - Electronic filing for investment advisers and investment adviser representatives

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Designated
			 entity. The IARD and CRD shall be authorized to receive and store filings and
			 collect related fees from investment advisers and investment adviser
			 representatives, respectively, on behalf of the administrator.
(b) Electronic filing. Unless otherwise
			 required by this regulation, all investment adviser and investment adviser
			 representative applications, amendments, reports, notices, related filings, and
			 fees required to be filed with the administrator pursuant to the act and these
			 regulations shall be filed electronically with and transmitted to the IARD and
			 the CRD.
(c) Electronic
			 signatures. When a signature is required on any filing to be made through the
			 IARD or CRD, the applicant or a duly authorized officer of the applicant shall
			 affix an electronic signature to the filing by typing the individual's name in
			 the appropriate field and submitting the filing to the IARD or CRD. Submission
			 of a filing in this manner shall constitute a legal signature by any individual
			 whose name is typed on the filing.
(d) Exception to electronic filing. Any
			 documents or fees required to be filed with the administrator that are not
			 permitted to be filed with or cannot be accepted by the IARD or CRD shall be
			 filed directly with the administrator.
(e) Hardship exemptions.
(1) Temporary hardship exemption.
(A) Criterion for exemption. Investment
			 advisers registered or required to be registered under the act who experience
			 unanticipated technical difficulties that prevent submission of an electronic
			 filing to IARD or CRD may request a temporary hardship exemption from the
			 requirements to file electronically.
(B) Application for exemption. To apply for a
			 temporary hardship exemption, the investment adviser shall file a written
			 request with the securities administrator in the state where the investment
			 adviser's principal place of business is located. The request shall be
			 submitted in a form approved by the securities administrator, and the request
			 shall be filed no later than one business day after the due date for the filing
			 that is the subject of request. The investment adviser shall also submit the
			 filing that is the subject of the request in electronic format to IARD or CRD
			 no later than seven business days after the filing was due.
(C) Effective date: upon filing. If the
			 request is in proper form, the temporary hardship exemption shall be deemed
			 effective upon receipt by the securities administrator. Multiple temporary
			 hardship exemption requests within the same calendar year may be disallowed by
			 the securities administrator.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-7 - Notice filing requirements for federal covered investment advisers

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Initial notice
			 filing. The notice filing for a federal covered investment adviser pursuant to
			 K.S.A. 17-12a405, and amendments thereto, shall be filed on form ADV with the
			 IARD. A notice filing of a federal covered investment adviser shall be deemed
			 filed when the fee required by K.A.R. 81-14-2 and the form ADV are filed with
			 and accepted by the IARD on behalf of the administrator.
(b) Part 2 of form ADV. Until the IARD
			 accepts the electronic filing of part 2 of form ADV, part 2 shall be deemed by
			 the administrator to be filed if a federal covered investment adviser provides
			 part 2 to the administrator within five business days of a request by the
			 administrator.
(c) Renewal notice
			 filing. The annual renewal of the notice filing for a federal covered
			 investment adviser pursuant to K.S.A. 17-12a405, and amendments thereto, shall
			 be filed with the IARD. The renewal of the notice filing for a federal covered
			 investment adviser shall be deemed filed when the fee required by K.A.R.
			 81-14-2 is filed with and accepted by the IARD on behalf of the administrator.
(d) Updates and amendments. Each
			 federal covered investment adviser shall file with the IARD, in accordance with
			 the instructions in the form ADV, any amendments to the federal covered
			 investment adviser's form ADV.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-9 - Custody of client funds or securities; safekeeping; financial reporting

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Definitions.
			 For the purposes of this regulation, the following definitions shall apply:
(1) "Custody" means holding, directly or
			 indirectly, client funds or securities, or having any authority to obtain
			 possession of them or the ability to appropriate them.
(A) Each of the following circumstances shall
			 be deemed to constitute custody:
(i)
			 Possession of client funds or securities unless received inadvertently and
			 returned to the sender promptly, but in any case within three business days of
			 receiving the funds or securities;
(ii) any arrangement, including a general
			 power of attorney, under which an investment adviser is authorized or permitted
			 to withdraw client funds or securities maintained with a custodian upon the
			 adviser's instruction to the custodian; and
(iii) any arrangement that gives an
			 investment adviser or its supervised person legal ownership of or access to
			 client funds or securities, which may include an arrangement in which the
			 investment adviser or its supervised person is the trustee of a trust, the
			 general partner of a limited partnership, the managing member of a limited
			 liability company, or a comparable position for a pooled investment
			 vehicle.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-10 - Operational requirements for investment advisers; supervisory procedures; brochure delivery

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Supervision of
			 investment adviser representatives and employees.
(1) Annual review. Each investment adviser
			 shall conduct a review, at least annually, of the businesses in which the
			 adviser engages, which shall be reasonably designed to assist in detecting and
			 preventing violations of and achieving compliance with the act, these
			 regulations, and other applicable laws and regulations.
(2) Supervisory procedures. Each investment
			 adviser shall establish and maintain supervisory procedures that shall be
			 reasonably designed to assist in detecting and preventing violations of and
			 achieving compliance with the act, these regulations, and other applicable
			 laws, regulations, and rules of self-regulatory organizations. In determining
			 whether the supervisory procedures are reasonably designed, factors including
			 the following may be considered by the administrator:
(A) The firm's size;
(B) the organizational structure;
(C) the scope of business activities;
(D) the number and location of the
			 offices;
(E) the nature and
			 complexity of products and services offered;
(F) the volume of business done;
(G) the number of investment adviser
			 representatives assigned to a location;
(H) the specification of the office as a
			 non-branch location; and
(I) the
			 disciplinary history of the registered investment adviser representatives.
(3) Supervision of
			 non-branch offices. The procedures established and the reviews conducted shall
			 provide sufficient supervision at remote offices to ensure compliance with
			 applicable securities laws and regulations. Based on the factors specified in
			 paragraph (a)(2), certain non-branch offices may require more frequent reviews
			 or more stringent supervision.
(4)
			 Failure to supervise. If an investment adviser fails to comply with this
			 subsection, the investment adviser shall be deemed to have "failed to
			 reasonably supervise" its investment adviser representatives under K.S.A.
			 17-12a412(d)(9), and amendments thereto.
Kansas Administrative Regulations › Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER › Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section 81-14-11 - Kansas private adviser exemption

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Exemption
					from registration. An investment adviser shall be exempt from the registration
					requirements of K.S.A. 17-12a403, and amendments thereto, if both of the
					following requirements are met:
(1) The
					investment adviser shall meet each of the following conditions:
(A) Maintain its principal place of business
					in Kansas;
(B) provide investment
					advice solely to fewer than 15 clients;
(C) not hold itself out generally to the
					public as an investment adviser; and
(D) not act as an investment adviser to any
					investment company registered pursuant to section 8 of the investment company
					act of 1940,  15 U.S.C. §
											80a-8, as adopted by reference in   K.A.R. 81-2-1,
					or  a company that has elected and has not withdrawn its election to be a
					business development company pursuant to section 54 of the investment company
					act of 1940,  15 U.S.C. §
											80a-54, as adopted by reference in   K.A.R.
					81-2-1.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-202 - Conducting business before the commission

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Unless
			 otherwise required by law, the requirements of these regulations may be waived
			 by the commission if good cause is shown and if it is in the public interest to
			 do so.
(b) Upon request, any
			 person having business before the commission may receive all reasonable and
			 proper assistance from personnel of the commission, including advice as to the
			 form of any application, complaint, motion, answer, or other paper necessary to
			 be filed in any proceeding before the commission and the furnishing of any
			 blank forms or other information from its records that will provide the
			 appropriate assistance.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-204 - Definitions

Current through Register Vol. 43, No. 28, July 11, 2024
As used in these regulations, the following definitions shall
				apply:
(a) "Applicant" means any
			 party on whose behalf an application for authority or permission that the
			 commission is authorized by law to grant or deny is made.
(b) "Attorney" shall include any licensed
			 attorney currently admitted to practice before the supreme court of the state
			 of Kansas and any attorney at law authorized to enter an appearance under
			 K.A.R. 82-1-228.
(c) "Commission"
			 and "commissioner" mean the state corporation commission of Kansas, and a
			 member of the commission, respectively.
(d) "Complainant" means any party who
			 complains to the commission of either of the following:
(1) Anything done or failed to be done in
			 contravention or violation of either of the following:
(A) The provisions of any statute or other
			 delegated authority administered by the commission; or
(B) any orders or regulations issued or
			 promulgated by the commission under statute or delegated authority; or
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-204a - Classification of public utilities for filing purposes

Current through Register Vol. 43, No. 28, July 11, 2024
Public utilities shall be classified as follows for the
				purposes of filing with the commission.
(a) Electric and gas utilities:
(1) Class A, if the annual operating revenues
			 are $1 million or more; and
(2)
			 class B, if the annual operating revenues are less than $1 million;
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-205 - Office hours

Current through Register Vol. 43, No. 28, July 11, 2024
All offices of the state corporation commission shall be open
				to the public from 8:00 a.m. to 5:00 p.m. each day other than Saturday and
				Sunday, except as otherwise provided by law or by order of the governor.
				Meetings and exercise of powers may be held at any location by the commission.
				Any inquiry, investigation, or other proceeding necessary to the performance of
				the commission's duties and functions may be conducted at any location, and any
				person or persons may be designated or appointed to do so on behalf of and by
				the commission.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-206 - Communications

Current through Register Vol. 43, No. 28, July 11, 2024
(a) All written
			 communications to the commission shall be addressed to the executive director
			 of the commission at its Topeka office, unless otherwise specifically directed
			 by the commission or any commissioner.
(b) Except as otherwise provided in article 3
			 of these regulations, all pleadings, exhibits and other papers required to be
			 filed with the commission shall meet the following requirements:
(1) Be filed within the time limits provided
			 by KAPA unless otherwise specified by these regulations or by order of the
			 commission, for such filing; and
(2) be accompanied by appropriate fees in
			 cases in which fees are required.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-207 - Ex parte communications in non-KAPA proceedings

Current through Register Vol. 43, No. 28, July 11, 2024
(a)
(1) After the commission has determined and
			 announced that a hearing shall be conducted in a proceeding and before the
			 issuance of a final order, no parties to the proceeding, or their attorneys,
			 shall discuss the merits of the proceeding with the commissioners or the
			 presiding officer unless reasonable notice that allows attendance is given to
			 all parties to the proceeding.
(2)
			 After the commission has determined and announced that a hearing shall be
			 conducted in a proceeding and before the issuance of a final order, each party
			 shall mail copies of any written communications regarding the proceeding that
			 are directed to the commission or any member of its staff, to all parties of
			 record. Each party shall furnish proof that service of the written
			 communication was made to all parties to the proceeding.
(3) The person or persons to whom any ex
			 parte communication is made shall promptly and fully inform the full commission
			 of the substance and circumstances of the communication to enable the
			 commission to take appropriate action.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-208 - Sessions

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Public sessions
			 of the commission for hearing evidence, oral arguments, public conferences, and
			 public hearings before the commission, a commissioner, or an examiner shall be
			 held at the time and place ordered by the commission. Unless otherwise provided
			 by statute, notice of these public sessions may be mailed, published by the
			 commission, or delegated to an applicant by the commission.
(b) General sessions of the commission for
			 the transaction of business shall be held at its offices in Topeka, Kansas, or
			 elsewhere in Kansas, on regular business days, as scheduled by the chairperson
			 of the commission. Special sessions of the commission for consultation or
			 conferences, or for the transaction of other business may be held at any time
			 and place, as scheduled by the chairperson of the commission.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-212 - Dockets

Current through Register Vol. 43, No. 28, July 11, 2024
Each matter coming before the commission and requiring a
				decision by the commission shall be known as a docket and shall receive a
				docket number and a descriptive title. The docket number and title shall be
				used on all papers filed in the docket, and shall appear in all correspondence
				relating to the docket.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-214 - Commencement of a proceeding

Current through Register Vol. 43, No. 28, July 11, 2024
A proceeding shall be commenced either by the filing of an
				application, a complaint, or a petition, or by the issuance of an order of the
				commission initiating a proceeding on its own motion. However, an application
				filed by an investor-owned utility for permission to make changes in its rates
				and tariffs shall not commence a proceeding under these regulations unless the
				commission has received written notification of the intent to file the
				application no fewer than 30 and not more than 90 days before the application
				filing date.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-215 - Copies of pleadings and prefiled testimony

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Except as
			 otherwise provided in K.A.R. 82-1-231, K.A.R. 82-3-101 through K.A.R. 82-3-399,
			 and K.A.R. 82-4-27, 82-4-28, 82-4-29, 82-4-30, and 82-4-65, each party filing
			 any application, complaint, prefiled testimony, or other pleading shall file an
			 original and at least seven copies for the commission. The filing of additional
			 copies, as may be necessary, may be required by the commission. In the case of
			 an application to serve an annexed area pursuant to
			 K.S.A.
			 66-1,176, and amendments thereto, the
			 applicant shall contemporaneously serve a copy of the application upon the
			 currently certified retail electric supplier.
(b) Upon filing, the original shall be placed
			 by the executive director of the commission in the official records of the
			 commission, and the duplicate copies shall be distributed as directed by the
			 commission.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-216 - Service of pleadings

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Manner of
			 service of papers. Notices, motions, pleadings, or other papers may be served
			 by any of the following means:
(1) Hand
			 delivery;
(2) United States mail;
(3) restricted mail;
(4) overnight courier;
(5) facsimile machine if the original of the
			 facsimile document is also served; or
(6) electronic delivery in a format
			 acceptable to the commission, if a signed, original hard copy of the document
			 delivered electronically is also served.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-217 - Computation and extension of time

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Computation;
			 legal holiday defined. In computing any period of time prescribed or allowed by
			 these rules or by an applicable statute in which the method of computing such
			 time is not otherwise specifically provided, the day of the act, event, or
			 default from which the designated period of time begins 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 which event the period runs until
			 the end of the next day which is not a Saturday, a Sunday, or a legal holiday.
			 When the period of time prescribed or allowed is less than seven days,
			 intermediate Sundays and holidays shall be excluded in the computation. A half
			 holiday shall be considered as other days and not as a holiday. "Legal holiday"
			 includes any day designated as a holiday by the congress of the United States,
			 or by the legislature of this state.
(b) Enlargement. When by these rules or by a
			 notice given under them an act is required or allowed to be done at or within a
			 specified time, the time for doing such act may be extended for good cause
			 shown by the commission in its discretion, or the act may be done subsequent to
			 the expiration of the prescribed time where the failure to act within such time
			 was the result of excusable neglect, as permitted by the commission.
(c) Additional time after service by mail.
			 Service is complete upon mailing. Three days shall be added to the prescribed
			 period for any action required of the recipient.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-218 - Form and contents of pleadings

Current through Register Vol. 43, No. 28, July 11, 2024
All applications, formal complaints, supplemental complaints,
				amended complaints, petitions, replies, answers, protests, motions, petitions
				in intervention, and all amendments of these pleadings shall comply with the
				provisions of
				K.A.R.
				82-1-219 relating to general requirements for
				all of these pleadings. The form and contents of the numbered paragraphs in the
				various kinds of pleadings shall be as follows:
(a) Applications. All applications for the
			 approval, determination, consent, permission, certificate or authorization of
			 the commission in cases for which this approval, determination, consent,
			 permission, certificate, or authorization is required by law, shall be made in
			 writing in a document entitled "application."
In matters before the utilities division and transportation
				division of the commission, the filing of certified copies of the charter or
				articles of incorporation of every corporation directly affected by the
				proposed action and certified copies of all certificates, statements, or
				records that modify or extend the purpose or powers of such corporations, may
				be required. However, until so required, the applicant may incorporate the
				items by reference rather than by actually filing the copies.
The application shall set forth the facts upon which the
				application is based, in numbered paragraphs, and reference to the particular
				provision of the law or regulations of the commission requiring or providing
				for the same shall be made in the application.
The application shall contain further statements of fact and of
				law as may be required by any provision of law or these regulations.
(b) Complaints. Complaints
			 shall comply with the provisions of K.A.R. 82-1-220.
(c) Petitions. All petitions for relief shall
			 meet the following criteria:
(1) Clearly and
			 concisely state the interest of the petitioner in the subject matter and the
			 relief sought;
(2) cite by
			 appropriate reference the law, statute, or regulation relied upon by the
			 petitioner for relief; and
(3)
			 comply with the requirements of these reg-ulations.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-219 - General requirements relating to pleadings and other papers

Current through Register Vol. 43, No. 28, July 11, 2024
Except as otherwise provided in
				K.A.R.
				82-1-231, each pleading shall contain the
				formal parts and meet the requirements specified in this regulation.
(a) Caption. The caption of a pleading shall
			 include the heading, the descriptive title of the docket, and the docket number
			 assigned to the matter by the executive director of the commission.
(1) Heading. Each pleading shall contain the
			 heading "BEFORE THE STATE CORPORATION COMMISSION OF THE STATE OF KANSAS" which
			 shall be centered at the top of the first page of the pleading.
(2) Descriptive title. Immediately beneath
			 the heading, and to the left of the center of the page, shall be the
			 descriptive title of the docket. This title shall begin with the words "In the
			 matter of" and shall be followed by a concise statement of the matter presented
			 to the commission for its determination, including, if appropriate, a brief
			 description of the order, authorization, permission, or certificate sought by
			 the party initiating the docket. The name of the party initiating the docket
			 and the names of all other parties to whom the initial pleading is directed
			 shall be stated in the descriptive title, followed by a designation of each
			 party's status in the proceeding. These designations shall include applicant,
			 complainant, defendant, and respondent.
(3) Docket number. Upon the filing of the
			 initial pleading in a docket, a docket number shall be assigned by the
			 executive director of the commission, which shall be placed immediately to the
			 right of the docket title. All pleadings filed in the docket after the formal
			 initiation of the matter shall bear the same caption as that of the original
			 pleading.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-220 - Complaints

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Any person may
			 initiate a complaint proceeding by filing a formal complaint with the
			 commission in which the rates, joint rates, fares, tolls, charges, regulations,
			 classifications, or schedules of any public utility, motor carrier, or common
			 carrier are alleged to be unreasonable, unfair, unjust, unjustly
			 discriminatory, or unduly preferential, or that allege that any service
			 performed or to be performed is illegal, unreasonably inadequate, inefficient,
			 or unduly insufficient, or cannot be obtained.
(b) Formal complaints shall be submitted in
			 writing and shall comply with the requirements of these regulations. Formal
			 complaints shall meet the following conditions:
(1) Fully and completely advise each
			 respondent and the commission as to the provisions of law or the regulations or
			 orders of the commission that have been or are being violated by the acts or
			 omissions complained of, or that will be violated by a continuance of acts or
			 omissions;
(2) set forth concisely
			 and in plain language the facts claimed by the complainant to constitute the
			 violations; and
(3) state the
			 relief sought by the complainant.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-220a - Expedited review of disputes between telecommunications service providers

Current through Register Vol. 43, No. 28, July 11, 2024
(a) The expedited
			 review process shall be used to resolve disputes between competing
			 telecommunications carriers in an expeditious manner. Except as specifically
			 provided in this regulation, the provisions of K.A.R. 82-1-220 shall apply.
(b) This process may be used to
			 bring expedited resolution to disputes under interconnection agreements entered
			 into pursuant to 47 U.S.C. secs. 251 and 252 of the federal telecommunications
			 act of 1996. This process shall be in addition to any dispute resolution
			 process or procedure specified in the parties' interconnection agreement. Use
			 of this process may be requested if a dispute directly affects the ability of a
			 party to provide uninterrupted service to its customers or affects the
			 provisioning of any service, functionality, or network element. This process
			 shall not be used for disputes that involve consumer complaints against the
			 carriers or requests for damages. The commission or its designated examiner
			 shall have the authority to shorten or lengthen the deadlines specified in this
			 regulation if the circumstances warrant or if all parties agree.
(c) Each request for expedited review shall
			 be filed at the same time and in the same document as those for a complaint
			 filed in accordance with K.A.R. 82-1-220, but shall include the phrase "Request
			 for Expedited Review" in the heading. Each complaint that includes a request
			 for expedited review shall contain the following information:
(1) A description of the specific
			 circumstances that make the dispute eligible for expedited review;
(2) a description of the particular
			 service-affecting issue justifying the expedited review;
(3) a description of the parties' efforts to
			 resolve each disputed issue, including any steps taken in accordance with the
			 dispute resolution process contained within the parties' interconnection
			 agreement;
(4) a list of
			 cross-references to the area or areas of the interconnection agreement that are
			 applicable to each disputed issue; and
(5) any proposed resolution of the dispute.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-221 - Exhibits and documentary evidence

Current through Register Vol. 43, No. 28, July 11, 2024
(a)
(1) The applicant shall file an original and
			 at least seven copies of all exhibits and documentary evidence unless otherwise
			 provided in these regulations.
(2)
			 If an applicant is required to file with its application any map, profile,
			 certificate, statement, or other document that has already been filed with the
			 commission, the applicant may reference rather than attach the document. The
			 applicant shall include in its application the fact that the document has been
			 previously filed, and the date and the proceeding in which, or occasion on
			 which, the filing was made. The application may request that the previously
			 filed document be incorporated by reference.
(3) Court records may be offered into
			 evidence by reference, but shall not be received over the objection of any
			 party unless opportunity for examination has been afforded to the objecting
			 party.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-221a - Confidentiality

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Any document,
			 data, customer-specific contract, proprietary information, trade secret, or
			 other commercial information filed with or furnished to the Kansas corporation
			 commission (commission) as confidential shall, in addition to the requirements
			 set forth in the Kansas statutes annotated and the Kansas administrative
			 regulations, comply with the following requirements:
(1) The term "document" or "documents," as
			 used in this regulation, means any original, copy, or draft of any handwritten,
			 typewritten, printed, graphic, or electronically recorded material, and shall
			 include the following:
(A) Correspondence;
(B) notes;
(C) memoranda;
(D) studies;
(E) reports;
(F) records;
(G) charts;
(H) invoices;
(I) bills;
(J) diaries;
(K) calendars;
(L) books;
(M) statements;
(N) appointment books;
(O) tape recordings;
(P) videos;
(Q) faxes;
(R) computer printouts and software;
(S) electronically recorded media;
			 and
(T) any other writing or
			 tangible record of any kind, type, or nature, and however produced.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-222 - Prehearing conferences; procedure

Current through Register Vol. 43, No. 28, July 11, 2024
(a) In any matter
			 pending before the commission and not governed by the KAPA, the attorneys for
			 the parties to appear before the commission for a prehearing conference may be
			 directed by the commission at its discretion or on the request of any party to
			 consider any of the following:
(1) The
			 simplification of the issues;
(2)
			 the trial of issues of law, the determination of which may eliminate or affect
			 the trial of issues of fact;
(3)
			 the necessity or desirability of amendments to the pleadings;
(4) the possibility of obtaining admissions
			 of fact and of documents that will avoid unnecessary proof;
(5) the limitation of the number of expert
			 witnesses;
(6) the advisability of
			 a preliminary reference of issues of fact to an examiner or an investigator
			 appointed by the commission; or
(7) any other matters that may aid in the
			 disposition of the proceeding.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-224 - Joinder of proceedings and parties

Current through Register Vol. 43, No. 28, July 11, 2024
(a) For good cause
			 shown, the joinder of any proceeding with another proceeding may be permitted
			 by the commission. However, issues that are not germane to each other and that
			 require separate and distinct proof shall not be joined in the same proceeding.
(b) Two or more dockets may be
			 consolidated by the commission for hearing on a common record if the commission
			 deems it to be in the public interest to do so.
(c) The broadening of issues may be permitted
			 by the commission in any proceeding before the commission.
(d) Two or more grounds of complaint
			 involving the same purposes, subjects, or statement of facts may be included in
			 one complaint, but shall be separately stated and numbered.
(e) Two or more complainants may join in one
			 complaint if their respective causes of complaint are against the same
			 defendant or defendants and involve substantially the same purposes, subjects
			 or subject matter and a similar statement of facts.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-225 - Intervention

Current through Register Vol. 43, No. 28, July 11, 2024
This regulation shall apply to both KAPA and non-KAPA
				proceedings.
(a) The presiding
			 officer shall grant a petition for intervention if the following conditions are
			 met:
(1) The petition is submitted in writing
			 to the presiding officer, with copies mailed to all parties named in the
			 presiding officer's notice of the hearing, at least three days before the
			 hearing.
(2) The petition states
			 facts demonstrating that the petitioner's legal rights, duties, privileges,
			 immunities, or other legal interests may be substantially affected by the
			 proceeding or that the petitioner qualifies as an intervenor under any
			 provision of law.
(3) The
			 presiding officer determines that the interests of justice and the orderly and
			 prompt conduct of the proceedings will not be impaired by allowing the
			 intervention.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-226 - Continuances and adjournment

Current through Register Vol. 43, No. 28, July 11, 2024
For good cause at any time, with or without motion, any hearing
				may be continued or adjourned by the commission. A hearing before either the
				commission or a hearing examiner shall commence at the time and place fixed in
				the notice, but may be adjourned from time to time or from place to place by
				the presiding commissioner or the hearing examiner without further notice.
				Continuances and adjournments may be requested orally, and an oral request may
				be granted or denied at the discretion of the hearing examiner or the
				commission.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-227 - Subpoenas

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Subpoenas may
			 be issued by the commission or by any commissioner, or by the presiding
			 officer, upon written petition by any party to the proceeding. Every subpoena
			 shall contain the caption of the docket and shall command each person to whom
			 it is directed to attend and give testimony at the time and place specified.
(b) A subpoena duces tecum shall
			 be issued in the same manner and form as a subpoena for the attendance of a
			 witness, and may command the person to whom it is directed to produce the
			 books, papers, documents, or tangible items designated in the subpoena. Upon a
			 prompt motion, and in any event at or before the time specified in the subpoena
			 duces tecum for compliance, any of the following actions may be taken by the
			 commission:
(1) Quash or modify the subpoena
			 if it is unreasonable and oppressive; or
(2) condition denial of the motion upon the
			 advancement by the party on whose behalf the subpoena is issued of the
			 reasonable cost of producing the books, papers, documents, or tangible items.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-228 - Hearings

Current through Register Vol. 43, No. 28, July 11, 2024
(a) General
			 provisions. Public hearings shall be held in the hearing rooms of the
			 commission, in any district courtroom, at any other place in Kansas that the
			 commission may deem appropriate, or at any place required by statute. All
			 hearings before the commission shall be conducted by the commission or by a
			 presiding officer, who may be a commissioner, a hearing examiner, or any other
			 person duly authorized by the commission to conduct the hearing. The provisions
			 of these regulations governing hearings before the commission shall be
			 applicable to hearings conducted by the presiding officer.
(b) Convening of hearings. On the date and at
			 the place and time stated in the notice of the hearing, the presiding officer
			 conducting the hearing shall call the docket by announcing the docket number
			 and by reading the caption of the case into the record. Commission hearings
			 shall be opened in a formal way on each day upon which commission business is
			 transacted.
(c) Scope of hearing.
			 The presiding officer may make a concise statement of the scope and the purpose
			 of the hearing and the issues involved at the beginning of the hearing.
(d) Appearances. Each attorney for
			 a party, and any other representative authorized by the commission according to
			 paragraph (3) of this subsection, shall enter an appearance by giving the
			 attorney's or representative's name and address for the record.
(1) Except as otherwise specified in
			 paragraph (2) of this subsection, any party may perform any of the following:
(A) Appear before the commission and be heard
			 in person and on that party's own behalf;
(B) appear before the commission and be
			 represented by an attorney who is regularly admitted to practice in the courts
			 of record of the state of Kansas; or
(C) appear before the commission and be
			 represented by any regularly admitted practicing attorney in the courts of
			 record of another state of the United States, if the nonresident attorney
			 complies with the requirements set forth in K.S.A. 7-104, and amendments
			 thereto. The local counsel shall first enter the local counsel's own appearance
			 and shall then orally move for the admission of the nonresident attorney with
			 whom local counsel is associated. The oath required by K.S.A. 7-104, and
			 amendments thereto, shall be administered to any nonresident attorneys by the
			 presiding officer. An oral order admitting them as attorneys or representatives
			 in the proceeding then pending shall be made by the presiding officer, and they
			 shall enter their appearances on the record.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-229 - Use of prefiled testimony

Current through Register Vol. 43, No. 28, July 11, 2024
(a) In lieu of oral
			 examination, the examination of witnesses may be presented or, if required by
			 the commission or by these regulations, shall be presented in written
			 question-and-answer form. Presentation of prefiled testimony may be required by
			 the commission in accordance with this regulation if it is deemed that doing so
			 would be in the public interest and would be conducive to a fair and
			 expeditious disposition of the proceeding. Any party may object to the use of
			 prefiled testimony by a witness, and the objecting party shall have a right to
			 be heard by the commission or the presiding officer at the hearing on the
			 objection.
(b) All prefiled
			 testimony shall be in typewritten form, double-spaced, on paper that is 8 1/2
			 inches wide and 11 inches long. The lines on each page shall be numbered
			 consecutively down the left side of the page. The left-hand margin of each page
			 shall be not less than 1 1/4 inches wide, and the remaining margins shall be
			 not less than one inch wide.
(c)
			 Prefiled testimony shall be filed 10 days before the hearing unless otherwise
			 specified. For conservation division matters, an original and four copies of
			 any prefiled testimony that an applicant intends to offer into evidence, other
			 than rebuttal, shall be filed with the conservation division at least 20 days
			 before the hearing. An original and four copies of any prefiled testimony that
			 an intervenor or protestant intends to offer into evidence, other than
			 rebuttal, shall be filed with the conservation division at least 10 days before
			 the hearing.
(d) At the hearing,
			 after any prefiled testimony has been properly identified and authenticated
			 under oath by the witness, upon motion, the prefiled testimony may be
			 incorporated into the record in the same way as if the questions had been asked
			 of the witness and the answers had been given by the witness orally. The
			 prefiled testimony shall be subject to the same rules of evidence as if given
			 orally, and the witness presenting the prefiled testimony shall be subject to
			 cross-examination.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-230 - Hearings; evidence and procedure

Current through Register Vol. 43, No. 28, July 11, 2024
(a) Rules of
			 evidence. The rules of evidence as stated in article four of the Kansas code of
			 civil procedure shall be applied by the commission at all of its hearings.
			 However, the presiding officer may relax the rules of evidence if the presiding
			 officer believes that it is in the public interest to do so and will aid in
			 ascertaining the facts. If an objection is made to the admissibility of
			 evidence, the presiding officer may rule upon the objection or may receive the
			 evidence subject to a subsequent ruling on the objection by the commission. The
			 presiding officer may exclude inadmissible evidence on the presiding officer's
			 own motion and may order cumulative evidence discontinued. All parties may note
			 their exceptions on the record to any ruling or other action of the presiding
			 officer.
(b) Order of procedure at
			 hearings. The presiding officer shall determine the order of procedure at
			 hearing.
(1) Unless otherwise ordered by the
			 presiding officer, the following shall apply:
(A) The applicants shall open and close at
			 hearings on applications.
(B) The
			 complainant shall open and close at hearings on formal complaints.
(C) The staff counsel shall open and close at
			 hearings on investigations initiated by the commission.
Kansas Administrative Regulations › Agency 82 - KANSAS CORPORATION COMMISSION › Article 1 - RULES OF PRACTICE AND PROCEDURE › Section 82-1-230a - Settlement agreements

Current through Register Vol. 43, No. 28, July 11, 2024
(a) As used in this
			 regulation, the following definitions shall apply:
(1) "Settlement agreement" means an agreement
			 between parties to a proceeding submitted to the commission to dispose of all
			 or any part of the issues pending for decision.
(2) "Unanimous settlement agreement" means an
			 agreement that is entered into by all parties to the proceeding or an agreement
			 that is not opposed by any party that did not enter into the agreement.
(3) "Nonunanimous settlement
			 agreement" means an agreement that is entered into by fewer than all parties to
			 the proceeding and is opposed by one or more parties.