WUTC: WAC 480-07 Procedural Rules

WAC 480-07 Procedural Rules

Chapter 480-07 WAC
PROCEDURAL RULES

Last Update: 8/21/06

WAC

480-07-010 Scope of this chapter.

PART I: GENERAL PROVISIONS

480-07-100 Scope of Part I.
480-07-110 Exemptions from and modifications to commission rules; conflicts involving rules.
480-07-120 Office hours.
480-07-125 Physical address; telephone; fax; web portal; e-mail; internet.
480-07-130 Time periods specified for acts governed by this chapter.
480-07-140 Communicating with the commission.
480-07-141 Receiving and filing a document is not acceptance.
480-07-143 Submitting documents in rule-making proceedings.
480-07-145 Filing documents in adjudicative proceedings.
480-07-150 Service of documents in adjudicative proceedings.
480-07-160 Confidential information.
480-07-170 Official communications from the commission.
480-07-180 Incorporated and referenced materials in commission rules and orders.

PART II: RULE-MAKING PROCEEDINGS

480-07-200 Scope of Part II.
480-07-210 Administrative Procedure Act requirements.
480-07-220 Monitoring rule-making proceedings; lists of interested persons.
480-07-230 Inquiring about rule-making proceedings.
480-07-240 Petitions for rule making, amendment, or repeal.

PART III: ADJUDICATIVE PROCEEDINGS

Subpart A: Rules of General Applicability

480-07-300 Scope of Part III.
480-07-305 Commencement of an adjudicative proceeding.
480-07-307 Probable cause determinations.
480-07-310 Ex parte communication.
480-07-320 Consolidation of proceedings.
480-07-330 Presiding officers.
480-07-340 Parties--General.
480-07-345 Appearance and practice before the commission.
480-07-350 Access for limited-English speakers and hearing-impaired persons.
480-07-355 Parties--Intervention.
480-07-360 Parties--Master service list.
480-07-370 Pleadings--General.
480-07-375 Motions.
480-07-380 Motions that are dispositive--Motion to dismiss; motion for summary determination; motion to withdraw.
480-07-385 Motion for continuance, postponement, or extension of time.
480-07-390 Briefs; oral argument; findings and conclusions.
480-07-395 Pleadings, motions, and briefs--Format requirements; citation to record and authorities; verification; errors; construction;
amendment.
480-07-400 Discovery.
480-07-405 Discovery--Data requests, record requisitions, and bench requests.
480-07-410 Discovery--Depositions.
480-07-415 Discovery conference.
480-07-420 Discovery--Protective orders.
480-07-423 Discovery--Protective orders--Submission requirements for documents.
480-07-425 Discovery disputes.
480-07-430 Prehearing conferences.
480-07-440 Hearing notice.
480-07-450 Hearing--Failure to appear.
480-07-460 Hearing--Predistribution of exhibits and prefiled testimony.
480-07-470 Hearing guidelines.
480-07-480 Hearing--Stipulation of facts.
480-07-490 Hearing--Exhibits and documentary evidence.
480-07-495 Hearing--Rules of evidence; official notice.
480-07-498 Hearing--Public comment.

Subpart B: General Rate Proceedings

480-07-500 General rate proceedings--Statement of policy.
480-07-505 General rate proceedings--Definition.
480-07-510 General rate proceedings--Electric, natural gas, pipeline, and telecommunications companies.
480-07-520 General rate proceedings--Solid waste collection companies.
480-07-530 General rate proceedings--Water companies.
480-07-540 General rate proceedings--Burden of proof.
480-07-550 General rate proceedings--Compliance filings and other resulting filings.

Subpart C: Abbreviated and Specialized Forms of Adjudicative Proceedings

480-07-600 Scope.
480-07-610 Brief adjudicative proceedings.
480-07-620 Emergency adjudicative proceedings.
480-07-630 Telecommunications companies--Arbitration under the Telecommunications Act of 1996.
480-07-640 Telecommunications companies--Review and approval of interconnection agreements under the Telecommunications
Act of 1996.
480-07-650 Petitions for enforcement of telecommunications company interconnection agreements.
480-07-660 Railroad grade-crossing closures--Objections.

Subpart D: Alternative Dispute Resolution

480-07-700 Alternative dispute resolution.
480-07-710 Mediation.
480-07-720 Collaboratives.
480-07-730 Settlement.
480-07-740 Settlement consideration procedure.
480-07-750 Commission discretion to accept settlement, impose conditions, or reject a proposed settlement.

Subpart E: Orders and Post-order Process

480-07-800 General; definitions.
480-07-810 Interlocutory orders.
480-07-820 Initial and final orders.
480-07-825 Initial orders--Petitions for administrative review.
480-07-830 Motion to reopen the record prior to entry of a final order.
480-07-835 Clarification of final order by motion.
480-07-840 Clarification of a final order by conference.
480-07-850 Reconsideration of a final order by petition.
480-07-860 Stay.
480-07-870 Rehearing.
480-07-875 Amendment, rescission, or correction of order.
480-07-880 Compliance filing; subsequent filing; reporting requirement.
480-07-883 Compliance filing--Filing requirements; timing; commission action.
480-07-885 Subsequent filing--Filing requirements; timing; commission action.

PART IV: OTHER COMMISSION PROCEEDINGS

480-07-900 Open public meetings.
480-07-903 Delegation of authority to the executive secretary.
480-07-904 Delegation of authority to the executive secretary to decide certain matters.
480-07-905 Delegation of authority to executive secretary to enter ex parte orders.
480-07-910 Informal complaints.
480-07-920 Interpretive and policy statements.
480-07-930 Declaratory orders under RCW 34.05.240.
480-07-940 Conversion of proceedings.
480-07-950 Joint hearings with other administrative bodies.

WAC 480-07-010 Scope of this chapter. This chapter includes rules that explain how to conduct business with the Washington utilities and transportation commission (the commission). The commission interacts both informally and formally with the public and with the businesses it regulates.
Part I of this chapter includes basic information about the commission such as the agency's office hours, its physical address and other contact information, and general requirements for communicating with the commission.
Part II includes provisions that relate specifically to rule-making proceedings, such as how a person may submit comments that will be taken into account when the commission considers making changes to its rules.
Part III concerns adjudicative proceedings including hearings on formal complaints, general rate proceedings, applications for authority, petitions for relief, and abbreviated proceedings that may be used in some circumstances.
Part IV concerns other types of commission proceedings including regular and special open public meetings, interpretive and policy statements, declaratory orders, and informal complaints.
These rules are authorized by and supplement the Administrative Procedure Act, chapter 34.05 RCW, and the principal statutes that define the commission's authority and responsibility. These statutes are found principally in Titles 80 and 81 of the Revised Code of Washington (RCW). These procedural rules should be read and understood in conjunction with the Administrative Procedure Act and Titles 80 and 81 RCW. Certain of these statutes establish procedural requirements for conducting particular types of business with the commission.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-010, filed 11/24/03, effective 1/1/04.]

PART I: GENERAL PROVISIONS

WAC 480-07-100 Scope of Part I. Part I of this chapter contains information about the commission, and general rules that apply in rule-making, adjudicative, and other proceedings described in this chapter.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-100, filed 11/24/03, effective 1/1/04.]

WAC 480-07-110 Exemptions from and modifications to commission rules; conflicts involving rules. (1) Exceptions and modifications. The commission may grant an exemption from or modify the application of its rules in individual cases if consistent with the public interest, the purposes underlying regulation, and applicable statutes. The commission may modify the application of procedural rules in this chapter during a particular adjudication consistent with other adjudicative decisions, without following the process identified in subsection (2) of this section.

Process.

How to request an exemption to or modification of a rule.

Commission process.

Standard for consideration.

Disposition.

Conflicts involving rules.

WAC 480-07-120 Office hours. "Business day," as used in this chapter, means any day when the commission's offices are open to the public. Commission offices are open to the public between the hours of 8:00 a.m. and 5:00 p.m., Monday through Friday, except on official state holidays, as defined in RCW 1.16.050, Legal holidays and legislatively recognized days.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-120, filed 11/24/03, effective 1/1/04.]

WAC (10/18/06 10:26 AM) [ ]
WAC 480-07-125 Physical address; telephone; fax; web portal; e-mail; internet. The information included in this section is current at the time of rule adoption, but may change. Current information and additional contact information are available on the commission's internet site, in person at the commission offices, or by a telephone call to the commission's main public number.

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Location and mailing address:	Washington Utilities and Transportation Commission 1300 S. Evergreen Park Drive S.W. P.O. Box 47250 Olympia, WA 98504-7250
Telephone:
Public number	360-664-1160
Records center number	360-586-1234
Consumer inquiries, comments and informal complaints	1-800-562-6150
Fax:
Public and records center	360-586-1150
Web portal	www.wutc.wa.gov/e-filing
Records center e-mail	records@wutc.wa.gov
Internet web site	www.wutc.wa.gov

[Statutory Authority: RCW 80.01.040 and 80.04.160. 06-16-053 (Docket A-050802, General Order R-536), � 480-07-125, filed 7/27/06, effective 8/27/06; 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-125, filed 11/24/03, effective 1/1/04.]

WAC 480-07-130 Time periods specified for acts governed by this chapter. (1) Computation of time. "Day" means calendar day whenever used in this chapter, unless otherwise specified. The period of time for doing an act governed by this chapter is determined by excluding the first day and including the last day, unless the last day is an official state holiday, Saturday, or Sunday, in which event the period runs until the end of the next day that is not an official state holiday, Saturday, or Sunday. For example, if a formal complaint is served on the first day of the month, any answer to the complaint must be filed by the twenty-first day of the same month, unless the twenty-first day is an official state holiday, in which case the answer will be timely if filed on the next business day after the holiday.
(2) Variation from time limits. The commission may modify the time limits stated in chapter 34.05 RCW, subject to the requirements of RCW 34.05.080. The commission may modify the time limits stated in a commission rule, subject to other requirements of law. WAC 480-07-385 sets out procedures for and governs when the commission will grant continuances or extensions of time in adjudicative proceedings.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-130, filed 11/24/03, effective 1/1/04.]

WAC (10/18/06 10:26 AM) [ ]
WAC 480-07-140 Communicating with the commission. (1) Scope of rule. This rule includes general requirements for effective communication with the commission.
The commission encourages use of the commission's records center web portal for filing and submitting documents with the commission. Customers of regulated companies who have a complaint about their service provider are encouraged to contact the commission as described in WAC 480-07-910. Anyone wishing to comment on a matter before the commission may submit comments by telephone, letter, fax, e-mail or by using the comment form available on the commission's web site.
(a) Electronic filing, limitations. You may file documents electronically using the commission's records center web portal (see WAC 480-07-125) if you are submitting documents that are not part of an adjudicative proceeding. Examples include registration applications, tariffs, contracts, price lists, rule-making comments, and comments on open meeting items. Electronic filing means the commission accepts the electronic version of the document as the official filing and does not require a paper copy of the documents.
(b) Electronic submission, adjudications. You may submit documents electronically using the commission's records center web portal (see WAC 480-07-125) or e-mail if you are submitting documents in an adjudicative proceeding. Electronic submission means the commission allows submission of electronic versions of documents, but requires a paper copy of the document as the official filing.
(c) Electronic filing of public records requests. You may file requests for public records electronically using the commission's records center web portal (see WAC 480-07-125). You do not have to file a paper copy of the public records request if it is filed electronically.
(d) Use of e-mail for electronic filing or submission. The commission encourages you to use its records center web portal for filing or submitting electronic documents, because it is more reliable and secure than e-mail. If you are unable to use the records center web portal to file or submit documents, the commission will accept a filing or submission received via e-mail addressed to the records center.
(e) You must also comply with other requirements when submitting certain documents, as shown below.

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Submissions in these dockets or filings:	Must comply with these rules:
Rule-making dockets	This rule, WAC 480-07-143, and Part II of this chapter
Adjudicative dockets	This rule, WAC 480-07-145, and Part III of this chapter, plus any requirements in the specific adjudication
Utility tariffs and telecommunications price lists and contracts	This rule, chapter 480-80 WAC, and WAC 480-07-14X
Transportation tariffs and time schedules	This rule, WAC 480-07-14X; and
(i)	For auto transportation companiesChapters 480-30 and 480-149 WAC;
(ii)	For commercial ferry companiesChapters 480-51 and 480-149 WAC;
(iii)	For solid waste collection companiesChapter 480-70 WAC
For public records requests	Chapter 42.17 RCW and chapter 480-04 WAC

WAC (10/18/06 10:26 AM) [ ]

(2) Content of letters and e-mail messages to the commission. Letters and e-mail messages to the commission should include only one subject.
(3) Where to send letters and e-mail messages. WAC 480-07-125 includes the commission's mailing address and other contact information current at the time of rule publication. Persons who communicate with the commission are encouraged to do so by e-mail to the commission's records center. The commission's internet site includes current and additional contact information.
(4) Cover letters. Persons submitting or filing documents with the commission must include a cover letter with the filing, unless the letter or document is one page and includes the information identified in subsection (5) of this section.
(5) Identification of sender; identification of permit, license, or certificate; identification of proceeding. The following requirements will make sure your message to the commission is delivered promptly to the person or persons who need to receive it, and to allow a prompt response. If you do not include the necessary information, we may not be able to promptly handle your message or provide a prompt response.
(a) Identification of sender. All persons who communicate with the commission must provide their full name and are asked to provide a mailing address, telephone, fax, and e-mail address to assist the commission in responding. Persons who communicate with the commission on behalf of a business, organization, or other entity must state their name and title or position, and the name of the entity on whose behalf the communication is sent, in addition to the contact information described above.
(b) Identification of permit, license, or certificate held by sender. Any person or entity that holds a commission-issued permit, license, or certificate must identify the permit, license, or certificate number (if any), including the exact name under which the authority is held, when communicating with the commission concerning the permit, license, or certificate.
(c) Identification of proceeding. Persons who communicate with the commission concerning a formal commission proceeding (e.g., rule-making or adjudication) must identify the proceeding to the best of their ability, including the docket number and name of the proceeding, if known.
(6) Electronic file format requirements. The commission requires electronic versions of all documents filed with the commission, including confidential versions of documents that include confidential information.
(a) Acceptable media. You may submit documents electronically through the commission's records center web portal, by e-mail file attachment addressed to the commission's records center, or submitted to the records center on a 3 1/2 inch IBM formatted high-density disk or compact disc (CD) labeled with the docket number of the proceeding, if a number has been assigned, the name of the entity and the name of the individual submitting the document, and a description of the contents (e.g., "direct evidence," "motion to dismiss," etc.).
(b) Acceptable format. Electronic versions of all documents, including confidential versions of documents that include confidential information, must be filed in .pdf (Adobe Acrobat) format, supplemented by a separate file in .doc (MS Word), .wpd (WordPerfect), .xls (Excel), or .ppt (Power Point) format, so that spreadsheets displaying results of calculations based on formulas include all formulas, and do not include locked, password protected or hidden cells.
(i) The following documents are exempt from the requirement in (b) of this subsection for formatting other than .pdf (Adobe Acrobat):
(A) Documents not created by, for, or on behalf of a party to or a witness in the proceeding for which no version in the required formatting is available; and
(B) Published, copyrighted material and voluminous material not originally prepared in the required format.
(ii) Any person who requests a document to be provided in a format other than .pdf (Adobe Acrobat), whose request is denied, may request relief from the commission.
(iii) Redacted versions of electronic documents that mask confidential information should be filed exclusively in .pdf format. Parties who cannot create Adobe Acrobat files directly must provide a copy of the document converted to Adobe Acrobat via scanning or other available technology.
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(c) *File naming conventions*. Electronic files must be named in a way that describes the file contents. Parties should use the format identified in the following examples, identifying the docket number, the nature of the document, and the party submitting it:Testimony	UE-010101 Smith direct
	(name of party) (date)
	UT-020202 Jones rebuttal attachment 1 (name of party) (date)
Motions	UG-030303 motion to dismiss
	(name of party) (date)
	UW-040404 answer to motion to dismiss (name of party) (date)
Correspondence	TG-010203 (name of party) request for continuance (date)

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(d) Acceptable organization. Each party must submit all files to meet a single deadline at the same time and in the same message or diskette. When a party submits two or more files at the same time, the files must be organized into folders, and the party must provide a printed index. The index may be included in a cover letter or provided as an attachment to a cover letter. The index also must be provided in the form of an electronic file.
Example:
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Folder and diskette nameI. U-020304 (name of party) direct evidence (date)

Subfolders	A. U-020304 (name of party) (name of witness) direct (date)
	B. U-020304 (name of party) (name of witness) direct (date)
Files	1. U-020304 (name of witness) direct (name of party) (date)
	2. U-020304 (name of witness) direct att 1 (name of party) (date)

[Statutory Authority: RCW 80.01.040 and 80.04.160. 06-16-053 (Docket A-050802, General Order R-536), � 480-07-140, filed 7/27/06, effective 8/27/06; 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-140, filed 11/24/03, effective 1/1/04.]

WAC 480-07-141

Receiving and filing a document is not acceptance.

WAC 480-07-143

Submitting documents in rule-making proceedings.

Scope of rule.

Submitting comments.

Methods for delivering comments and other communications.

Through the web portal

How to use the web portal

When deemed received

By e-mail message or fax.

Where to send electronic documents.

When deemed received.

By mail or hand delivery (e.g., courier delivery service).

When deemed received/filed.

Electronic file supplement.

WAC 480-07-145

Filing documents in adjudicative proceedings.

Scope of rule.

Mail or hand delivery service is required for all documents.

When deemed received/filed.

Exception for documents offered and received at hearing.

Where to mail/deliver.

Filings must be supplemented by an electronic version of the document.

Number of copies; failure to file sufficient number of copies.

Number of copies.

Failure to file sufficient number of copies.

Filing and service are separate requirements.

Service and certificate of service are required.

Web portal, e-mail or fax transmission may be used to expedite the filing process, when authorized.

When permitted; paper copy required.

Timing

Paper copy required.

Exact copy is required.

Authorization for electronic submission must be indicated.

Simultaneous delivery to all parties is required.

Where to send web portal or e-mail message or fax transmission.

When deemed received.

Additional rules regarding adjudicative proceedings.

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WAC 480-07-150 Service of documents in adjudicative proceedings. (1) Service defined. Service means sending or delivering, in accordance with RCW 34.05.010(19) and this rule, documents relating to commission adjudications, to parties and any other persons to whom service may be required by statute. Service includes the formal exchange of documents among parties to adjudicative proceedings.
(2) Designation of person to receive service.
(a) Each party in an adjudicative proceeding must designate one person to receive service of documents relating to the adjudication.
(b) When any party has appeared by an attorney or other authorized representative in a proceeding before the commission, the party must name the representative, or one of the representatives if there is more than one, to receive service of documents. Service on the representative is valid service upon the party, except as provided by law. When an individual party appears on his or her own behalf, she or he must be the person to receive service.
(c) The commission may order different arrangements for service in individual proceedings.
(3) Person to receive service of orders.
The commission will serve orders in adjudicative proceedings upon the party's representative and also on the party. Therefore, all parties must provide the name and mailing address of a person for purposes of direct service on the party.
(4) Contact information. Each party must supply the following information about every individual that it names to receive service:
(a) Name.
(b) Mailing address.
(c) Telephone number.
(d) Fax number, if any.
(e) E-mail address, if any.
(f) Relationship to party (e.g., executive director, etc.).
(5) Waiver of service by statutory means.
(a) A party may choose to waive service of process by means of personal delivery, United States mail or parcel delivery service, in whole or in part, and elect to receive service by electronic means.
(b) Waiver must be made in writing, filed with the commission, and must specify alternative methods of communication to effect service. Alternates may include fax or e-mail.
(c) Waiver excuses other parties and the commission from the obligation to use methods of service specified in rule or statute.
Neither the commission nor any party is foreclosed from making service by statutory means upon a party who has waived such service, and timely service by a method specified in the statute will satisfy legal requirements for service when it is used.
(6) Service by parties. Parties must serve documents by delivering one copy to each other party by one of the following methods:
(a) In person.
(b) By mail, properly addressed with first class postage prepaid.
(c) By delivering to a commercial parcel delivery company and making or arranging payment of the pertinent fee.
(d) By fax transmission, if other forms of service are waived.
(e) By e-mail, if other forms of service are waived.
(7) Service by commission. All notices, complaints, petitions, findings of fact, opinions, and orders required to be served by the commission may be served by one of the following methods:
(a) In person.
(b) By mail, properly addressed with first class postage prepaid.
(c) By commercial parcel delivery company.
(d) By fax transmission, when a paper copy is simultaneously mailed or tendered to a commercial parcel delivery company.
(e) By e-mail if originals are simultaneously mailed or sent by commercial parcel delivery company.
(8) When service is deemed complete. Unless otherwise ordered by the commission in a particular proceeding, service is complete as follows:
(a) Service by mail is complete when a copy of the document is properly addressed, stamped, and deposited in the United States mail.
(b) Service by commercial parcel delivery is complete when the parcel delivery company accepts a copy of the document for delivery.
(c) Service by fax transmission is complete when the party receiving service has filed a waiver of service by statutory methods and requested service by fax transmission, and the document being served has been entirely received in the recipient's fax machine.
(d) Service by e-mail is complete when the party receiving service has filed a waiver of service by statutory methods and requested service by e-mail, and the document being served has been entirely received at the recipient's designated e-mail address.
(e) Proof of service by electronic means. Parties effecting service by electronic means are encouraged to secure electronic return receipts or otherwise confirm successful delivery.
(9) Certificate of service. Each person filing a pleading, motion, response, or brief with the commission must include with or on the original of the document either an acknowledgment of service or the following certificate:

WAC (10/18/06 10:26 AM) [ ]
"I hereby certify that I have this day served this document upon all parties of record in this proceeding, by (state the authorized method of service selected under WAC 480-07-150)"
Dated at . . . . . . . . . . this . . . . . . . . . . day of . . . . . . . . . .

(signature of person who served the document)

[Statutory Authority: RCW 80.01.040 and 80.04.160. 06-16-053 (Docket A-050802, General Order R-536), � 480-07-150, filed 7/27/06, effective 8/27/06; 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-150, filed 11/24/03, effective 1/1/04.]

WAC 480-07-160

Confidential information.

Implementation.

Designated official.

Provider.

Requester.

Confidential information defined.

How to designate and seek protection of confidential information under this section.

Contents.

Marking.

Paper copies.

Electronic copies.

Protective order, if any, must be cited.

Unredacted version under seal; redacted version.

Sealing and labels

Marking

Number of copies

three

twelve

Challenges to claims of confidentiality.

Requests for "confidential" information.

Informal resolution.

Notice of request for information designated confidential; release of information designated confidential.

Judicial intervention by the commission.

Designation or redesignation of confidential information in adjudications.

WAC 480-07-170 Official communications from the commission. A communication from the commission is not an "official communication" unless the commissioners, the commission's secretary, or the secretary's designee signs it. In addition, the presiding administrative law judge or the administrative law judge's designee may sign official communications relating to an adjudicative proceeding.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-170, filed 11/24/03, effective 1/1/04.]

WAC 480-07-180 Incorporated and referenced materials in commission rules and orders. Any document that is incorporated by reference in a commission rule or order is available for public inspection at the commission unless exempt from the public disclosure requirements in chapter 42.17 RCW, or under a protective order in an adjudicative proceeding. The commission's secretary will provide a copy of a referenced document upon request, allowing reasonable time for any necessary copying, subject to any pertinent charge, and subject to copyright restrictions or statutory exemptions from public disclosure. The commission incorporates or references the version of the incorporated or referenced material that is current on the day the commission adopts a rule or enters an order that makes the incorporation or reference, unless the commission specifies another version or unless another version is apparent from the reference. In most instances, such information is available to the public on the commission's website (see WAC 480-07-125).

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-180, filed 11/24/03, effective 1/1/04.]

PART II: RULE-MAKING PROCEEDINGS

WAC 480-07-200 Scope of Part II. The rules in this part apply to all rule-making proceedings before the commission.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-200, filed 11/24/03, effective 1/1/04.]

WAC 480-07-210 Administrative Procedure Act requirements. The commission conducts rule-making proceedings in compliance with the requirements of RCW 34.05.310 through 34.05.395.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-210, filed 11/24/03, effective 1/1/04.]

WAC 480-07-220 Monitoring rule-making proceedings; lists of interested persons. (1) Internet. The commission's internet web site includes information about pending rule-making proceedings.

Mail or e-mail.

WAC 480-07-230 Inquiring about rule-making proceedings. Persons who wish to inquire about rules being proposed or considered by the commission may contact the commission's rules coordinator, whose contact information is available on the commission's internet website.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-230, filed 11/24/03, effective 1/1/04.]

WAC 480-07-240 Petitions for rule making, amendment, or repeal. Any interested person may petition the commission to request that the commission adopt, amend, or repeal any rule. RCW 34.05.330 and chapter 82-05 WAC govern petitions for new rules or for the amendment or repeal of existing rules.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-240, filed 11/24/03, effective 1/1/04.]

PART III: ADJUDICATIVE PROCEEDINGS

Subpart A: Rules of General Applicability

WAC 480-07-300 Scope of Part III. (1) Scope. The rules in this subpart apply to all adjudicative proceedings described in this chapter, except to the extent of any conflict with special rules that govern general rate proceedings (subpart B of this chapter) or abbreviated adjudicative proceedings (subpart C of this chapter). An "adjudicative proceeding," for purposes of this chapter, is a proceeding in which an opportunity for hearing is required by statute or constitutional right before or after the commission enters an order, or as to which the commission voluntarily enters an adjudication, and as defined and described in chapter 34.05 RCW.
(2) Examples of adjudicative proceedings before the commission. The following are examples of proceedings that are adjudicative proceedings for purposes of this chapter, if set for hearing:
(a) Formal complaint proceedings commenced pursuant to RCW 80.04.110 or 81.04.110.
(b) General rate proceedings.
(c) Applications for authority (e.g., certificates, licenses, and permits).
(d) Petitions for enforcement of interconnection agreements.
(e) Objections to closures of highway-railroad grade crossings.
(f) Declaratory order proceedings.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-300, filed 11/24/03, effective 1/1/04.]

WAC 480-07-305 Commencement of an adjudicative proceeding. (1) Commencement. The commission may commence an adjudicative proceeding at any time with respect to any matter within its jurisdiction and within the scope of its authority. An adjudicative proceeding begins when the commission or presiding officer notifies a party that a prehearing conference, hearing, or other stage of an adjudicative proceeding will be conducted.
(2) Who may file a pleading seeking to initiate an adjudicative proceeding. A person involved in an actual case or controversy subject to the commission's jurisdiction may apply to the commission for an adjudicative proceeding by filing the appropriate form of pleading.
(3) Types of pleadings that may initiate an adjudicative proceeding. The following pleadings, when properly and timely filed, constitute applications for adjudicative proceedings:
(a) Formal complaints.
(b) Petitions, when the action sought requires adjudication.
(c) Petitions for declaratory orders under RCW 34.05.240, when the commission determines that an adjudicative process is necessary to provide parties the opportunity to resolve contested issues.
(d) Filings for general rate increases, as defined in this chapter.
(e) Applications for authority that are not protested, if the commission is required by law to conduct a hearing or determines, in its discretion, that it should set the matter for hearing.
(f) Petitions for review of the denial of unprotested authority and petitions for mitigation of penalties assessed without hearing.
(g) Protests to applications for authority.
The commission will not initiate an adjudicative proceeding in response to such an application when contrary to statute or rule, when the application is presented during an existing adjudication (except pursuant to the commission's discretion under RCW 34.05.413(1)), or when the subject raised by the application is not required to be resolved in an adjudicative proceeding, as defined in chapter 34.05 RCW.
(4) Commission notification of any deficiencies in a pleading. Within thirty days after receiving an application for an adjudicative proceeding, the commission may notify the applicant of any obvious errors or omissions, request any additional information it requires regarding the application for adjudicative proceeding, and notify the applicant of the name, mailing address, and telephone number of a person on the commission staff that may be contacted regarding the application.
(5) Commission determination to conduct adjudicative proceeding. Within ninety days after a party files and serves a pleading or a party files and serves a response, whichever comes later, the commission will:
(a) Commence an adjudicative proceeding by serving the parties with a notice of hearing pursuant to RCW 34.05.434; or
(b) Decide not to conduct an adjudicative proceeding and furnish the applicant with a copy of its written decision, which will include a brief statement of reasons and notice of any administrative review available.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-305, filed 11/24/03, effective 1/1/04.]

WAC 480-07-307 Probable cause determinations. An administrative law judge will review the information or evidence supporting a proposed complaint or penalty assessment and determine whether probable cause exists to issue the complaint or assess penalties. If the judge determines that the information would support the proposed penalties or sustain the complaint, if proved at hearing and if not rebutted or explained, the judge will sign the complaint or penalty assessment on behalf of the commission. The existence of a finding of probable cause may not in any later stage of the proceeding be considered as support for the proposed penalties or the complaint.

[Statutory Authority: 2006 c 346, RCW 80.01.040 and 80.04.160. 06-17-126 (Docket A-060357, General Order No. R-538), � 480-07-307, filed 8/21/06, effective 9/21/06.]

WAC 480-07-310 Ex parte communication. (1) General. RCW 34.05.455 and this section govern ex parte communications. After an adjudicative proceeding begins and before a final determination, no person who has a direct or indirect interest in the outcome of the proceeding, including the commission's advocacy, investigative, or prosecutorial staff, may directly or indirectly communicate about the merits of the proceeding with the commissioners, the administrative law judge, or the commissioners' staff assistants, legal counsel, or consultants assigned to advise the commissioners in that proceeding, unless reasonable notice is given to all parties to the proceeding, so that they may participate in, or respond to, the communication.
(2) Communications not considered ex parte for purposes of this section. The following communications are not considered ex parte:
(a) Procedural aspects. Communications necessary to procedural aspects of maintaining an orderly process, such as scheduling, are not ex parte communications prohibited by RCW 34.05.455, or by this section.
(b) Commissioners. The commissioners may communicate with one another regarding the merits of any adjudicative proceeding.
(c) Commission employees and consultants. A presiding officer may receive legal counsel, or consult with staff assistants or consultants who are subject to the presiding officer's supervision or who have not participated in the proceeding in any manner, and who are not engaged in any investigative or prosecutorial functions in the same or a factually related case.
(3) Communication prior to service as presiding officer. If, before serving as presiding officer in an adjudicative proceeding, a person receives an ex parte communication of a type that could not properly be received while serving, the presiding officer must disclose the communication as prescribed in subsection (4) of this section promptly after starting to serve.
(4) What is required if an ex parte communication occurs. A presiding officer who receives any communication that appears to violate RCW 34.05.455, or this section, will place on the record of the pending matter any such written communication received, any written response to the communication, and a memorandum stating the substance of any such oral communication received, any response made, and the identity of each person from whom the presiding officer received an ex parte communication. The presiding officer will advise all parties that these matters have been placed on the record. Upon request made within ten days after notice of the ex parte communication, any party who wants to respond to the communication may place a written rebuttal statement on the record. Portions of the record pertaining to ex parte communications or rebuttal statements do not constitute evidence of any fact at issue in the proceeding unless a party moves to admit any portion of the record for purposes of establishing a fact at issue and that portion is admitted pursuant to RCW 34.05.452.
(5) Sanctions. The commission may prescribe appropriate sanctions, including default, for any violation of RCW 34.05.455 or this section. The commission will, and any party may, report any violation of this section to appropriate authorities for any disciplinary proceedings provided by law.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-310, filed 11/24/03, effective 1/1/04.]

WAC 480-07-320 Consolidation of proceedings. The commission, in its discretion, may consolidate two or more proceedings in which the facts or principles of law are related. Parties may request consolidation or may request the severance of consolidated matters by motion to the commission. The commission may act on its own motion to consolidate matters for hearing, or to sever consolidated matters.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-320, filed 11/24/03, effective 1/1/04.]

WAC 480-07-330 Presiding officers. (1) Commissioners. The commissioners may preside in any adjudicative proceeding with or without the assistance of an administrative law judge. When the commissioners preside, they are "presiding officers" as that term is used in chapter 34.05 RCW and in this chapter. When the commissioners preside with the assistance of an administrative law judge, the administrative law judge also is a presiding officer, except for purposes of making final decisions on substantive matters in the proceeding. The administrative law judge may enter procedural and other interlocutory orders. When the commissioners preside, they may enter procedural and other interlocutory orders and will enter one or more final orders in the proceeding to resolve the substantive matters presented.
(2) Administrative law judge. The supervisor of the administrative law judge function within the agency will designate one or more administrative law judges to preside in individual proceedings, subject to the commissioners' approval. An administrative law judge may be designated to assist the commissioners in their role as presiding officers as described in subsection (1) of this section, or may be designated to serve alone as presiding officer. When serving alone as the presiding officer, the administrative law judge will enter one or more initial orders, unless the parties and the commission agree to waive an initial order, or law prohibits entry of an initial order. The commissioners will enter a final order following the opportunity for administrative review of an initial order, upon waiver of an initial order, or as otherwise provided by law.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-330, filed 11/24/03, effective 1/1/04.]

WAC 480-07-340

Parties--General.

Definitions.

Person

Party

Interested person

Docket monitor

Appearance requirement.

Classification of parties.

Applicants.

Complainants.

Petitioners.

Movants.

Respondents.

Intervenors.

Protestants.

WAC 480-07-345 Appearance and practice before the commission. (1) Minimum qualifications. No person may appear before the commission as a representative of a party to an adjudicative proceeding without meeting one of the following qualifications:
(a) Membership in good standing in the Washington State Bar Association;
(b) Admission to practice, in good standing, before the highest court of any other state or the District of Columbia; (c) Status as an officer or employee of a party or person seeking party status, if granted permission by the presiding officer to represent the party;
(d) Status as a legal intern admitted to limited practice under Rule 9 of the Washington state supreme court's admission to practice rules. No legal intern, however, may appear without the presence of a supervising lawyer unless the presiding officer approves the intern's appearance in advance.
The presiding officer may refuse to allow a person who does not have the requisite degree of legal training, experience, or skill to appear in a representative capacity.
(2) Written notice of appearance and withdrawal by counsel or other representative is required. Attorneys or other authorized representatives that wish to appear on behalf of a party or person seeking party status, or to withdraw from a proceeding, must immediately provide separate written notice to the commission and all parties to the proceeding. Parties must supplement the written notice by submitting the document in electronic form as specified in WAC 480-07-140(5). A party's initial pleading filed in the proceeding must designate the party's representative. Later changes to the designation of authorized representative must be made by written notice to the commission, and a copy must be served on each other party in the proceeding. The party's initial pleading must also designate one person as its representative to accept service for the party itself.
(3) Unethical conduct is not permitted. Persons appearing in proceedings before the commission in a representative capacity must conform to the standards of ethical conduct required of attorneys before the courts of Washington. Representatives are required to be familiar with, and conform to, the requirements of the rules of professional conduct that are part of the Washington court rules. If any representative fails to conform to those standards, the commission may exclude the person from the proceeding, may report the ethical violation to any appropriate licensing authority, and may refuse to permit the person to appear before it in a representative capacity in any future proceeding.
(4) Former employees. Former employees of the commission are subject to the provisions of RCW 42.52.080, which governs employment after public service.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-345, filed 11/24/03, effective 1/1/04.]

WAC 480-07-350 Access for limited-English speakers and hearing-impaired persons. (1) Interpreters. The commission incorporates WAC 10-08-150 (rules of procedure governing interpreters) by reference in this rule so that limited-English-speaking and hearing-impaired persons have equal access to the administrative process and the opportunity for full and equal participation in adjudicative proceedings.
(2) Notice to limited-English-speaking parties. When the commission knows that a limited-English-speaking person is a party in an adjudicative proceeding, it will serve on that party a version of all notices concerning the hearing, including notices of hearing, continuances, and dismissals, in the primary language of the party or will include in the service of each notice a supplemental notice in the party's primary language that describes the significance of the notice and how the party may receive assistance in understanding and responding to the notice.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-350, filed 11/24/03, effective 1/1/04.]

WAC 480-07-355 Parties--Intervention. (1) Petition to intervene.
(a) Who may petition; when petitions must be filed. Any person (other than the original parties to any proceeding before the commission, commission staff, and public counsel) who desires to appear and participate as a party should file a written petition for leave to intervene at least three business days before the initial hearing date or prehearing conference date, whichever occurs first. A person may petition orally for leave to intervene at the time of the initial hearing or prehearing conference, unless the commission requires written petitions to intervene in a notice prior to the first hearing or prehearing date. The commission may extend the period for filing timely petitions to intervene.
(b) Late-filed petition to intervene. Any petition to intervene made after the deadline for filing or presenting the petition is a "late-filed petition to intervene." The commission will grant a late-filed petition to intervene only on a showing of good cause, including a satisfactory explanation of why the person did not timely file a petition.
(c) Contents of petition. Any petition to intervene must disclose:
(i) The petitioner's name and address.
(ii) The petitioner's interest in the proceeding.
(iii) The petitioner's position(s) with respect to the matters in controversy.
(iv) Whether the petitioner proposes to broaden the issues in the proceeding and, if so, a statement of the proposed issues and an affidavit or declaration that clearly and concisely sets forth the facts supporting the petitioner's interest in broadening the issues.
(v) The name and address of petitioner's attorney or other representative, if any. Attorneys and other party representative must separately file their notice of appearance as required by WAC 480-07-345(2).
(2) Response. Parties may respond to any petition to intervene. Responses may be written, or may be heard orally at a prehearing conference or at hearing. A party's written response to a petition to intervene must be filed and served at least two business days before the next prehearing conference or hearing date, or at such other time as the commission may establish by notice.
(3) Disposition of petitions to intervene. The commission may consider petitions to intervene at hearings or prehearing conferences, or, if persons have responded to a petition, before or after a hearing or prehearing conference. If the petition discloses a substantial interest in the subject matter of the hearing or if the petitioner's participation is in the public interest, the presiding officer may orally grant the petition at a hearing or prehearing conference, or in writing at any time. The presiding officer may impose limits on an intervenor's participation in accordance with RCW 34.05.443(2). If the commission grants intervention, the petitioner becomes a party to the proceeding as an "intervenor."
(4) Dismissal of intervenor. The commission may dismiss an intervenor from a proceeding after notice and a reasonable opportunity to be heard if the commission determines at any time that the intervenor has no substantial interest in the proceeding, or that the public interest will not be served by the intervenor's continued participation.
(5) Interlocutory review by commission. The commission may review a decision regarding a petition to intervene or dismissal of an intervenor pursuant to WAC 480-07-810.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-355, filed 11/24/03, effective 1/1/04.]

WAC 480-07-360 Parties--Master service list. The commission will maintain a master service list for each adjudicative proceeding. It will be available upon request and if feasible, on the commission's web site. The list will contain the name, mailing address, e-mail address, telephone number, and fax number of each party to the proceeding and of each party's representative. The commission will provide a courtesy copy to the parties of contact information provided by each party at the initial prehearing conference. Parties must designate persons to receive service in accordance with WAC 480-07-150.

WAC 480-07-370 Pleadings--General. (1) Types of pleadings permitted. Pleadings include formal complaints, petitions, answers, replies, counterclaims, answers to counterclaims, cross-claims, answers to cross-claims, third-party complaints, answers to third-party complaints, applications for authority, and protests. The commission may allow other pleadings upon written motion or on the commission's own motion.
(a) Formal complaints.
(i) Defined. "Formal complaints" are complaints filed in accordance with RCW 80.04.110 and 81.04.110, complaints filed under RCW 80.54.030, and commission complaints in proceedings designated by the commission as formal commission proceedings.
(ii) Contents. A formal complaint must be in writing and must clearly and concisely set forth the ground(s) for the formal complaint and the relief requested. A formal complaint must state:
(A) The name and address of the complainant and the name and address of complainant's attorney or other representative, if any;
(B) The full name and address of the person complained against;
(C) Facts that constitute the basis of the formal complaint, including relevant dates; and
(D) Citations to relevant statutes or commission rules.
(iii) Proceedings under RCW 80.04.110 or 81.04.110. In proceedings under RCW 80.04.110 or 81.04.110, the provisions of the respective statute will also apply.
(b) Petitions.
(i) Defined. Except for formal complaints and applications, as defined in this section, all original pleadings that seek relief and all pleadings that seek relief from a commission order are "petitions." Examples of petitions are petitions to intervene, petitions for declaratory orders that the commission converts into adjudications under RCW 34.05.310, petitions for enforcement of interconnection agreements under WAC 480-07-650, petitions for accounting orders, petitions for crossing or alteration of railroad crossings under RCW 81.53.030 and 81.53.060 and petitions for exemptions from or waiver of commission rules. Petitions that seek relief from a commission order include petitions for administrative review of an initial order, petitions for reconsideration of a final order, petitions for rehearing of a final order, and petitions for stay of the effectiveness of a final order. The commission may undertake an action that would be the proper subject of a party's petition, such as authorizing exemption from a commission rule, without receiving a petition from a party. The commission will provide written notice and allow for appropriate process when it acts in the absence of a party's petition.
(ii) Contents. A petition must be in writing and must clearly and concisely set forth the ground(s) for the petition and the relief requested. A petition must state:
(A) The petitioner's name and address and the name and address of the petitioner's attorney or other representative, if any;
(B) Facts that constitute the basis of the petition, including relevant dates;
(C) Citations to relevant statutes or commission rules.
(c) Answer to formal complaint or petition.
(i) Defined. A response to a formal complaint or petition is an answer. Answers must admit or deny specifically, and in detail, all material allegations of the formal complaint or petition and must fully and completely disclose the nature of the respondent's affirmative defenses, if any. A respondent must separately state and number each affirmative defense asserted.
(ii) When required. A named respondent must file an answer to a complaint brought by any party other than the commission.
(iii) When optional; when prohibited. A party may file an answer in any case, but an answer may not be filed in response to petition for reconsideration unless the commission expressly requests an answer be filed.
(iv) Timing of answer. A respondent must answer a formal complaint within twenty days after the commission serves the formal complaint on the respondent or such shorter time as the commission specifies in its notice. A person who desires to respond to a petition must file the answer within twenty days after the petition is filed. The presiding officer will establish the time for answers to interlocutory petitions. The commission may alter the time allowed for any answer to be filed.
(d) Reply.
(i) Defined. The pleading responding to an answer is a "reply." A party must not file a reply without authorization from the commission, upon a showing of cause.
(ii) Motion for permission to reply. A party that wishes to respond to an answer must file a motion requesting permission to reply within five business days after the answer is served. Motions for permission to reply should address whether the answer raises new material requiring a response, or state other reason(s) why a reply is necessary. A party may file a proposed reply as an attachment to its motion. If the commission grants a motion to file a reply and no reply is attached to the motion, the commission will set the time for filing the reply. Unless the commission grants a motion for permission to reply within five business days after filing, it is deemed denied.
(iii) Commission direction or invitation for a reply. The commission may require or invite a party to file a reply.
(e) Application. An "application" is a request for authority, license, or a certificate authorizing a person to provide a service regulated by the commission. The term also includes a request to transfer or amend any such authority, license, or certificate. Examples of applications are requests for certificates of convenience and necessity under Title 81 RCW and requests for transfers of property under chapter 80.12 or 81.12 RCW.
(f) Protest. A person who asserts that its interests would be adversely affected if an application is granted may file a "protest." A protest to an application must conform to the requirements of any special rules that apply to the type of application being protested. A protestant must serve a copy of the protest upon the applicant.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-370, filed 11/24/03, effective 1/1/04.]

WAC 480-07-375 Motions. (1) Defined. A party's written or oral request for commission action in the context of an adjudicative proceeding is a "motion." Persons who file motions are "movants" or "moving parties." Motions should be in writing unless made during a hearing session before the presiding officer. The commission may require an action that would be the proper subject of a party's motion, such as the rejection of proffered evidence without receiving a motion from a party. The commission will provide oral or written notice and allow for appropriate process when it acts in the absence of a party's motion. The commission recognizes four basic categories of motion:
(a) Dispositive motions. Dispositive motions request the commission to determine one or more of the issues in a proceeding or to terminate a party's participation. Examples of dispositive motions are motions to dismiss all or part of a complaint, petition, or application (see WAC 480-07-380(1)); motions for summary determination (see WAC 480-07-380(2)); and motions to dismiss an intervenor (see WAC 480-07-355(4) and 480-07-450) or find a party in default (see WAC 480-07-450).
(b) Procedural motions. Procedural motions request establishment of or modifications to process or the procedural schedule in a proceeding. Examples of procedural motions are motions for continuance (see WAC 480-07-385), motions for extensions of time (see WAC 480-07-385), and motions to reopen the record (see WAC 480-07-830).
(c) Discovery motions. Discovery motions are requests to promote or limit the exchange of information among parties during the discovery phase of a proceeding. Examples of discovery motions are motions to compel (see WAC 480-07-405(3) and 480-07-425), motions for sanctions (see WAC 480-07-425), and motions for protective orders (see WAC 480-07-420).
(d) Evidentiary motions. Motions related to evidence are requests to limit or add to the record in a proceeding. Examples of motions related to evidence are motions to strike, motions in limine, and motions requesting authority to file supplemental or additional testimony.
(2) Written motions must be filed separately. Parties must file motions separately from any pleading or other communication with the commission. The commission will not consider motions that are merely stated in the body of a pleading or within the text of correspondence. The commission may refer to the Washington superior court rules for civil proceedings as guidelines for handling motions.
(3) Oral motions. A party may bring an oral motion during a hearing, unless foreclosed from doing so by rule or in the presiding officer's discretion. The presiding officer will provide an opportunity for other parties to respond to any oral motion. The presiding officer may require that an oral motion be reduced to writing and may provide an opportunity for written response.
(4) Responses to written motions. A party who opposes a written motion, other than a dispositive motion (WAC 480-07-380) or a motion for continuance (WAC 480-07-385), may file a written response within five business days after the motion is served, or may make an oral or written response at such other time as the presiding officer may set.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-375, filed 11/24/03, effective 1/1/04.]

WAC 480-07-380 Motions that are dispositive--Motion to dismiss; motion for summary determination; motion to withdraw. (1) Motion to dismiss.

General.

Time for filing motion to dismiss.

Response.

Motion for summary determination.

General.

Time for filing motion for summary determination.

Response.

Continuance not automatic.

Motion to withdraw.

WAC 480-07-385 Motion for continuance, postponement, or extension of time. (1) Definitions.
(a) "Continuance," means any postponement or extension of time.
(b) A continuance to which all parties agree is an "agreed request."
(2) Procedure. Any party may request a continuance by oral or written motion. The commission may require a confirmation letter if a party makes an oral request. The presiding officer may rule on such motions orally at a prehearing conference or hearing session, or by letter, notice, or order. The commission will grant a continuance if the requesting party demonstrates good cause for the continuance and the continuance will not prejudice any party or the commission. The commission will grant a timely request to which all parties expressly agree unless it is inconsistent with the public interest or the commission's administrative needs.
(3) Timing.
(a) A party must file any written motion for continuance at least five business days prior to the deadline as to which the continuance is requested and must serve the motion by means that ensure its receipt by other parties the next business day after filing. Parties must file any written response within three business days after the motion is served, or two days prior to the deadline that is sought to be continued, whichever is earlier. Parties may orally respond when a hearing session is held prior to the stated deadline for a written response.
(b) A party must make any oral request for continuance on the record in a proceeding at least two business days prior to the deadline as to which the continuance is requested. The commission will permit oral responses at the time the oral request is made.
(c) The commission may consider requests for continuance that are made after the deadlines stated in this rule if the requester demonstrates good cause that prevented a timely request.
(4) Date certain. The commission will grant continuances only to a specified date.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-385, filed 11/24/03, effective 1/1/04.]

WAC 480-07-390 Briefs; oral argument; findings and conclusions. The commission may require the parties to a proceeding to present their arguments and authority orally at the close of the hearing, by written brief, or both. The commission may require parties to file proposed findings of fact and conclusions of law. The first brief filed following the close of hearing, if any, should be captioned "initial brief of [party]." A responding brief, if any, should be captioned "reply brief of [party]."

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-390, filed 11/24/03, effective 1/1/04.]

NOTES:

Reviser's Note: The brackets and enclosed material in the text of the above section occurred in the copy filed by the agency.

WAC 480-07-395 Pleadings, motions, and briefs--Format requirements; citation to record and authorities; verification; errors; construction; amendment. (1) Format. All pleadings, motions, and briefs must meet the following format requirements:

Paper size; legibility; margins.

Length.

Organization.

Caption.

Body of pleading.

Body of motion.

Relief requested.

Statement of facts.

Statement of issues.

Evidence relied upon.

Body of brief.

Citation to record.

Transcript.

Exhibits.

Citation to authority.

Verification.

Errors in pleadings or motions.

Liberal construction of pleadings and motions.

Amendments.

WAC 480-07-400 Discovery. (1) General.

No limitation on commission authority to audit and inspect.

Informal discovery procedures.

Definitions.

Party.

Data.

Data request.

Record requisition.

Bench request.

Depositions.

When discovery available.

Subpoenas always available.

When other discovery methods available.

Frequency, extent, and scope of discovery.

Schedule.

WAC 480-07-405 Discovery--Data requests, record requisitions, and bench requests. (1) Grouping and numbering.

Grouping.

Numbering.

Service of data requests, records requisitions, and responses to parties.

Motion to compel.

Limitation on numbers of data requests.

Responding party to seek clarification.

Objections; consequence of failure to object.

Data request.

Records requisition.

Bench request

Responses.

Data requests and record requisitions.

Timing.

Identification of respondent and witness.

Bench requests.

Supplementation.

Use of responses to data requests, record requisitions or bench requests.

WAC 480-07-410 Discovery--Depositions. (1) Who may be deposed. A party may depose any person identified by another party as a potential witness. A party may depose a person who has not been identified as a potential witness, if the presiding officer approves the deposition on a finding that the person appears to possess information significant to the party's case.
(2) Required notice; deposition conference. A party who intends to depose one or more persons must give notice to the commission and all parties. The presiding officer will consult with the parties and may schedule a deposition conference to facilitate the deposition process. The deposition conference schedule will be adjusted as needed considering any changes in the case schedule. Deposition conferences will be convened at the commission's offices in Olympia unless the parties and the presiding officer agree to another location.
(3) How conducted. Parties should use CR 30 of the Washington superior court civil rules as a guide when conducting depositions. Parties must limit the scope of questioning in a deposition to the same standard set forth in WAC 480-07-400(4). A court reporter provided by the party requesting the deposition will record the deposition. Each party will be responsible for the attendance of any of its prospective witnesses, or any of its employees, who have been scheduled for deposition. A party may interrupt a deposition, if necessary, to present a dispute regarding the deposition process to the presiding officer. However, to avoid interruption, such disputes should be reserved to the conclusion of the deposition, if possible.
(4) Use of depositions. Parties may use depositions for any lawful purpose, subject to the requirements of this subsection. A party may use a deposition to impeach a witness. If a party seeks to offer into evidence the deposition of a witness who is available to testify to the matters addressed in the witness's deposition, the party must do the following:
(a) Offer only those portions of the deposition on which the party intends to rely; and
(b) Provide five business-days' written notice to other parties and to the presiding officer prior to the hearing session at which the witness is expected to appear. The party must attach to the notice the portion(s) of the deposition that the party proposes to offer so that the presiding officer can mark it for identification as in the case of all other proposed hearing exhibits.
If portions of a deposition are admitted into evidence, other parties may offer additional portions of the deposition when necessary to provide a balanced representation of the witness's testimony.
(5) Correcting/supplementing deposition testimony.
(a) Correction. A party may file a motion to correct a transcription error in a deposition transcript within ten days after the deposition transcript is delivered.
(b) Supplementation. Every witness must supplement any response given in a deposition immediately upon learning that the prior response was incorrect or incomplete when made, or upon learning that a response, correct and complete when made, is no longer correct or complete.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-410, filed 11/24/03, effective 1/1/04.]

WAC 480-07-415 Discovery conference. The purpose of a discovery conference is to allow witnesses and others who have knowledge relating to the proceeding (e.g., consultants or employees) to talk directly and informally, to reduce or avoid the need for written data requests and time for their preparation, to allow discussions of potential stipulations regarding individual facts and settlement of individual issues to occur in an informal setting, to discuss the availability of supporting information, and to enhance the parties' ability to acquire or expand their knowledge about the case of one or more designated other parties. The commission may request or require the parties to attend a discovery conference along with designated witnesses to discuss with each other questions about the party's position or evidence and the availability of supporting information. Discovery conferences will not be reported and statements made by participants at discovery conferences are not admissible as evidence unless the parties agree otherwise. The commission may designate a person to facilitate a discovery conference. The designated facilitator must not be associated with any party or with a member of the commission advisory staff who is involved in the proceeding.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-415, filed 11/24/03, effective 1/1/04.]

WAC 480-07-420 Discovery--Protective orders. (1) Standard form. The commission may enter a standard form of protective order designed to promote the free exchange of information when parties reasonably anticipate that discovery in a proceeding will call for the production of confidential information.
(2) Amendment. The commission may, upon motion by a party, or on its own initiative, amend its standard form of protective order to meet the parties' and the commission's needs in individual cases.
(3) Special order. Upon motion by a party or by the person from whom discovery is sought that establishes a need to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, the presiding officer may make any order, including one or more of the following, that:
(a) The discovery will not be allowed;
(b) The discovery will be allowed only on specified terms and conditions;
(c) The discovery will be allowed only by a method of discovery other than the method selected by the party seeking discovery;
(d) Certain matters may not be inquired into, or that the scope of the discovery will be limited to certain matters;
(e) Discovery will be conducted with no one present except persons designated by the commission or the presiding officer;
(f) The contents of a deposition will not be disclosed or will be disclosed only in a designated way;
(g) A trade secret or other confidential research, development, or commercial information will not be disclosed or will be disclosed only in a designated way; or
(h) The parties must file specified documents or information enclosed in sealed envelopes to be opened as directed by the commission or the presiding officer.
The presiding officer may order that any party or person provide or permit discovery on such terms and conditions as are just, if the commission denies a motion for a protective order in whole or in part.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-420, filed 11/24/03, effective 1/1/04.]

WAC 480-07-423 Discovery--Protective orders--Submission requirements for documents. (1) General. Protective orders entered in individual proceedings may allow for parties to designate portions of documents exchanged during discovery or submitted during a proceeding (e.g., by filing, or by offering as an exhibit) as "confidential" or "highly confidential." Parties must strictly limit the amount of information they designate as confidential or highly confidential.

Standard for highly confidential designation.

Designations.

Submission.

NOTES:

Reviser's Note: The brackets and enclosed material in the text of the above section occurred in the copy filed by the agency.

WAC 480-07-425 Discovery disputes. (1) Procedure for resolving disputes. Parties must make good faith efforts to resolve informally all discovery disputes. The commission may designate a person to assist the parties to resolve discovery issues, at the request or with the consent of the disputants. A party may file a written motion, or move orally at prehearing conference, to compel discovery if a dispute cannot be informally resolved. The presiding officer will hear discovery disputes, on shortened notice, at the earliest reasonable time. The presiding officer may conduct telephone hearings or conferences for the argument of discovery disputes. The presiding officer may make discovery rulings orally on the record or by written order. The presiding officer's discovery rulings are subject to review under WAC 480-07-810.
(2) Sanctions for failure to comply. Any party may by motion, or the commission may on its own motion, propose that sanctions be imposed if a party fails or refuses to comply with an oral or written order resolving a dispute under this section. The commission may impose sanctions including, but not limited to, default, dismissal, striking of testimony, evidence, or cross-examination, or monetary penalties as provided by law.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-425, filed 11/24/03, effective 1/1/04.]

WAC 480-07-430 Prehearing conferences. (1) General. The commission may require, by written notice or by oral notice on the record of the hearing, that all parties and all persons who seek to intervene attend a prehearing conference. The following topics are proper subjects for discussion at a prehearing conference:
(a) Identification and simplification of the issues;
(b) The necessity or desirability of amendments to the pleadings;
(c) The possibility of obtaining stipulations of fact and to documents that might avoid unnecessary proof;
(d) Limitations on the number of witnesses;
(e) Coordinated examination of witnesses;
(f) Procedure at the hearing;
(g) The need for, and timing of, distribution of written testimony and exhibits to the parties and the bench prior to the hearing;
(h) Disposition of petitions for leave to intervene;
(i) Resolution of discovery disputes;
(j) Resolution of pending motions; and
(k) Any other matters that may aid in the disposition of the proceeding, whether by commission decision or by settlement.
(2) Notice. The commission will provide reasonable notice of the time and place established for a prehearing conference and the matters to be addressed. The notice may provide that failure to attend may result in a party being dismissed, being found in default, or the commission's refusal to consider a later petition for intervention except upon a showing of good cause for the failure to attend. A party's failure to attend a prehearing conference constitutes the party's waiver of all objections to any order or ruling arising out of the conference or any agreement reached at conference, unless the party shows good cause for its failure to attend.
(3) Oral statement or written order. The presiding officer may make an oral statement on the record or may enter an order describing the actions taken at the prehearing conference and agreements among the parties concerning all of the matters considered. Parties may object to the oral statement on the record at the time the oral statement is made, or may object to any written prehearing conference order within ten days after the date the order is served. The results of the prehearing conference will control the course of the proceeding unless modified by subsequent order or decision of the presiding officer to accommodate the needs of the case.
(4) Prehearing conferences to facilitate evidentiary hearing. The presiding officer may require parties to attend a prehearing conference prior to an evidentiary or other hearing session, or may recess an evidentiary or other hearing session to conduct a prehearing conference.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-430, filed 11/24/03, effective 1/1/04.]

WAC 480-07-440 Hearing notice. (1) Initial hearing notice.
(a) Timing. The commission will set the time and place of the first hearing session or prehearing conference in any adjudication in a notice served to all parties twenty days before the hearing or conference. The commission may shorten the notice period to seven days, as provided by RCW 34.05.434. The commission will set all hearings sufficiently in advance so that all parties will have a reasonable time to prepare, considering the procedural schedule, other pending matters, and the need to minimize continuances.
(b) Provisions for appointment of interpreter. The initial notice of hearing must state that if a limited-English-speaking or hearing-impaired party needs an interpreter, a qualified interpreter will be appointed at no cost to the party or witness. The notice will include a form for a party to indicate whether an interpreter is needed and to identify the primary language or hearing-impaired status of the party.
(2) Notice of continued hearing sessions.
(a) Permitted forms of notice. When a hearing is not concluded as scheduled, the time and place for continued hearing sessions may be set:
(i) On the record without further written notice to the parties;
(ii) By letter or formal notice from the secretary of the commission; or
(iii) By letter or formal notice from the presiding officer.
(b) Timing. There are no specific timing requirements for giving prior notice of continued hearing sessions.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-440, filed 11/24/03, effective 1/1/04.]

WAC 480-07-450 Hearing--Failure to appear. (1) Dismissal or default. The commission may dismiss a party or find a party in default for failure to appear at the time and place set for hearing. The presiding officer may recess a hearing for a brief period to provide an additional opportunity for the party to appear. If the party is not present or represented when the hearing resumes, the commission may dismiss the party or find the party in default. When the commission dismisses a party or finds a party in default, it will implement the dismissal or default by a written order. When a party is found in default, the commission's order stating that finding may also dispose of the issues in the proceeding, as provided by RCW 34.05.440.
(2) Review of order of dismissal or default. A party who is dismissed from a proceeding or found in default may contest the order of dismissal or default by written motion filed within ten days after service of the order. A dismissed party or party found in default may request that the order be vacated and, if the order is dispositive of the proceeding, that the proceeding be reopened for further process.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-450, filed 11/24/03, effective 1/1/04.]

WAC (10/18/06 10:26 AM) [ ]
WAC 480-07-460 Hearing--Predistribution of exhibits and prefiled testimony. (1) Predistribution of evidence. The commission may require parties to distribute their proposed evidence to other parties before the start of the evidentiary hearing. In general rate proceedings for electric, natural gas, pipeline, and telecommunications companies, the petitioner must prefile its proposed direct testimony and exhibits at the time it files its rate increase request, in accordance with WAC 480-07-510. The commission may convene a prehearing conference shortly before a scheduled hearing and require all parties to predistribute their proposed cross-examination exhibits.
(a) Number of copies to be filed or submitted; service. When predistribution of evidence other than proposed exhibits for use in cross-examination is required, each party must file the original plus twelve copies of its evidence with the commission unless the commission specifies a different number. When the commission requires parties to predistribute their proposed exhibits for use in cross-examination, each party must submit six copies to the bench if the commissioners are sitting as presiding officers and three copies if the commissioners are not sitting. The presiding officer may change the number of copies required. All proposed evidence must be served on all other parties to a proceeding whenever predistribution of evidence is required.
(b) Changes or corrections.
(i) Substantive corrections. Prefiled testimony may be revised to correct mistakes of fact asserted by a witness. Such mistakes may arise from a variety of causes such as scrivener's error, error in calculation, or error of misreported fact. Each party must advise all other parties of substantive corrections to any prefiled evidence as soon as the need for correction is discovered.
(ii) Substantive changes. Parties must seek leave from the presiding officer by written motion if they wish to submit testimony that includes substantive changes other than to simply correct errors of fact asserted by a witness. A party proposing such changes may submit the proposed revisions with its motion.
(iii) Minor corrections. Minor revisions to prefiled testimony and exhibits may be made to correct typographical errors, printing errors, and nonsubstantive changes (e.g., a change in a witness's address or employment). Counsel should not ask a witness on the stand to correct obvious typographical errors in the prefiled testimony or to make more than three minor substantive corrections. If more than three minor revisions are required, parties must prepare an errata sheet or a revised exhibit for submission at least one business day prior to the hearing to show such corrections to the prefiled evidence.
(iv) Format requirements for revisions. Parties who submit revisions to predistributed or previously admitted testimony or exhibits must prominently label them "revised" and indicate the date of the revision. The revised portions must be highlighted, in legislative style or other manner that clearly indicates the change from the original submission. This practice must be followed even with minor changes that involve only one page of an exhibit. If one or more pages of multiple page testimony or exhibits are revised, the header or footer of the affected pages must be labeled "revised" and indicate the date of the revision. Parties may indicate changes to spreadsheets by providing a description of the change and how the change affects other related spreadsheets. For revisions to spreadsheets, counsel must identify partial revisions by page and date when an exhibit is presented for identification, sponsored, or offered into evidence, as appropriate.
(c) Distribution at hearing. When a party offers new exhibits, revised exhibits, or errata sheets at a hearing, the party must provide sufficient copies for all parties and for the commission's distribution requirements. When the commission requires parties to predistribute their exhibits, a party may be required to establish good cause for any failure to predistribute a proposed exhibit, other than an exhibit offered solely for impeachment of the witness's testimony on the stand, or the exhibit may be excluded.
(2) Prefiled testimony.
(a) Exhibit numbers--Official record. The presiding officer will assign exhibit numbers to all prefiled testimony and exhibits at the final prehearing conference prior to hearing, or at hearing. These assigned numbers will be the exhibit numbers for purposes of the official record in the proceeding.
(b) Parties are required to mark prefiled testimony and exhibits for identification. Parties must mark all written testimony and exhibits for identification in the upper right-hand corner of the first page prior to submission as follows:
(i) State "Exhibit No.," followed by a blank underline. Then, on the same line, identify the sponsoring witness by including the witness's initials.
(ii) Place a hyphen after the witness's initials and insert a number, beginning with Arabic numeral 1, and sequentially number each subsequent exhibit (including any subsequent written testimony) throughout the proceeding.
(iii) Place the capital letter "C" after the number if the testimony or exhibit includes information asserted to be confidential under any protective order that has been entered in the proceeding.
(iv) Place the capital letter "T" after the number if the exhibit is a witness's prefiled testimony.
For example, John Q. Witness's prefiled testimony and accompanying exhibits must be marked as follows:

WAC (10/18/06 10:26 AM) [ ]

Testimony or Exhibit	Marked for Identification
John Q. Witness's prefiled direct testimony	Exhibit No. (JQW-1T)
First exhibit to John Q. Witness's prefiled direct testimony (nonconfidential)	Exhibit No. (JQW-2)
Second exhibit to John Q. Witness's prefiled direct testimony (confidential)	Exhibit No. (JQW-3C)
Third exhibit to John Q. Witness's prefiled direct testimony (nonconfidential)	Exhibit No. (JQW-4)
John Q. Witness's prefiled rebuttal testimony (with portions marked confidential)	Exhibit No. (JQW-5CT)
First exhibit to John Q. Witness's prefiled rebuttal testimony (nonconfidential)	Exhibit No. (JQW-6)

Counsel and other party representatives who are unfamiliar with this method of identification may ask the presiding officer for further guidance.
(c) Summary of testimony. Each witness must present a short summary of his or her prefiled testimony on the opening page or two of the testimony. Counsel or other party representative will be expected to ask as a foundation question when the witness takes the stand the subjects that will be covered by the witness. This foundation question should request, and the witness's response should include, only a statement of the subject(s) to be covered by the witness (e.g., rate of return on equity, cost of debt, prudence) and not a summary of the witness's positions on the subject(s) identified.
(d) Form of testimony and exhibits. All prefiled testimony and exhibits must be paginated. In addition, line numbers must be set out on all prefiled testimony to facilitate transcript or exhibit references. All copies of prefiled testimony and exhibits must be provided on 8 1/2 x 11 inch, three-hole punched paper (oversize holes are preferred), double-spaced, 12-point type, using palatino, times new Roman, or an equally legible serif font, with footnotes in the same font and of at least 10-point type, with margins of at least one inch on all sides. Preprinted documents and spreadsheets need not conform to these typeface and type size requirements, but must be legible. Oversized documents may be used at the hearing for illustrative purposes but must be provided on 8 1/2 x 11 inch paper if offered into evidence and reduction to that format is feasible.
(e) Submission requirements. All prefiled exhibits, both direct examination and cross-examination exhibits, must be individually separated by blank sheets with tabs.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 06-16-053 (Docket A-050802, General Order R-536), � 480-07-460, filed 7/27/06, effective 8/27/06; 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-460, filed 11/24/03, effective 1/1/04.]

WAC 480-07-470 Hearing guidelines. These guidelines are of a general nature and are provided to assist the presiding officer in regulating the course of the proceeding. The presiding officer may suspend or modify the guidelines or use measures not specified in this rule.

Starting times.

Appearances.

Matters to be handled at beginning of session.

Summary by public counsel.

Evidence; exhibits; stipulations of fact.

Order of presentation.

Testimony under oath.

Addressing the presiding officer or witnesses.

Resolving matters off the record.

Witness panels.

Cross-examination.

Redirect examination.

Post-hearing planning.

Transcript.

WAC 480-07-480 Hearing--Stipulation of facts. A stipulation is an agreement among parties intended to establish one or more operative facts in a proceeding. The commission encourages parties to enter stipulations of fact. The parties to any proceeding or investigation before the commission may agree to all of the facts or any portion of the facts involved in the controversy. The parties to a stipulation may file it in writing or enter it orally into the record. A stipulation, if accepted by the commission, is binding on the stipulating parties. The parties may present the stipulation as evidence at the hearing. The commission may reject the stipulation or require proof of the stipulated facts, despite the parties' agreement to the stipulation.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-480, filed 11/24/03, effective 1/1/04.]

WAC 480-07-490 Hearing--Exhibits and documentary evidence. (1) Designation of part of document as evidence. A party who offers evidence that consists of a portion of a document must designate the portion that is offered. If irrelevant matter included in the document would unnecessarily encumber the record, the document will not be received in evidence, but the relevant or material matter may be read into the record, or the presiding officer may receive a copy of the excerpt as an exhibit. If only a portion is offered or received, other parties may examine the document and offer other portions into evidence.
(2) Official records. An official document prepared and issued by any governmental authority may be introduced in the form of a certified copy. Official records contained in official publications or nationally recognized reporting service publications that are in general circulation and readily accessible to all parties may be introduced by reference, provided that the party offering the document clearly identifies the record and its source. The presiding officer may require the party offering such evidence to provide a copy for the record and to each party.
(3) Commission's files. The presiding officer may receive documents on file with the commission by reference to number, date, or by any other method of identification satisfactory to the presiding officer. If only a portion of a document is offered in evidence, the part offered must be clearly designated. The presiding officer may require the party offering the evidence to provide a copy to the record and to each party.
(4) Records in other proceedings. A portion of the record of any other commission proceeding that is otherwise admissible may be received as an exhibit in the form of a copy; by citation to the transcript or exhibit number; or by incorporation into the transcript of the current proceeding, as determined by the presiding officer.
(5) Documents from the public. When a member of the public presents a document in conjunction with his or her testimony, the commission may receive the document as an illustrative exhibit. The commission may receive as illustrative exhibits any letters that have been received by the secretary of the commission and by public counsel from members of the public regarding a proceeding. Documents a public witness presents that are exceptional in their detail or probative value may be separately received into evidence as proof of the matters asserted after an opportunity for cross-examination.
(6) Resolutions. The presiding officer may receive in evidence authenticated resolutions of the governing bodies of municipal corporations and of chambers of commerce, boards of trade, commercial, mercantile, agricultural, or manufacturing societies and other civic organizations. Any recital of facts contained in a resolution may not be considered as proof of those facts.
(7) Objections. Any evidence offered is subject to appropriate and timely objection. The presiding officer need not specifically ask each representative whether that party objects to an offer of evidence or other motion or proposed action. Parties that have objections must state them. Failure to object constitutes a waiver of the right to object.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-490, filed 11/24/03, effective 1/1/04.]

WAC 480-07-495 Hearing--Rules of evidence; official notice. (1) Admissibility; exclusion; offer of proof. All relevant evidence is admissible if the presiding officer believes it is the best evidence reasonably obtainable, considering its necessity, availability, and trustworthiness. The presiding officer will consider, but is not required to follow, the rules of evidence governing general civil proceedings in nonjury trials before Washington superior courts when ruling on the admissibility of evidence.
The presiding officer may exclude evidence that is irrelevant, repetitive, or inadmissible, whether or not a party objects to the evidence. Parties objecting to the introduction of evidence must state the grounds for the objection at the time the evidence is offered. The presiding officer may permit the party offering rejected evidence to describe briefly for the record its nature and purpose as an offer of proof. A written offer of proof may be required.
(2) Official notice.
(a) The commission may take official notice of:
(i) Any judicially cognizable fact. Examples of such facts include, but are not limited to:
(A) Rules, regulations, administrative rulings and orders, exclusive of findings of fact, of the commission and other governmental agencies;
(B) Contents of certificates, permits, and licenses issued by the commission; and
(C) Tariffs, classifications, and schedules regularly established by or filed with the commission as required or authorized by law.
(ii) Technical or scientific facts within the commission's specialized knowledge; and
(iii) Codes or standards that have been adopted by an agency of the United States, or this state or of another state, or by a nationally recognized organization or association.
(b) The commission may, in its discretion upon notice to all parties, inspect physical conditions that are at issue and take official notice of the results of its inspection.
(c) The presiding officer will notify parties of material officially noticed and its source. The presiding officer will afford parties an opportunity to contest facts and material so noticed. The presiding officer may require a party proposing that official notice be taken to provide copies of officially noted matter to the record and to all other parties.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-495, filed 11/24/03, effective 1/1/04.]

WAC 480-07-498 Hearing--Public comment. The commission will receive as a bench exhibit any public comment filed, or otherwise submitted by nonparties, in connection with an adjudicative proceeding. The exhibit will be treated as an illustrative exhibit that expresses public sentiment received concerning the pending matter. The commission may convene one or more public comment hearing sessions to receive oral and written comments from members of the public who are not parties in the proceeding. When the commission conducts a public comment hearing, the presiding officer will make an opening statement explaining the purpose of the hearing and will briefly summarize the principal issues in the matter. The presiding officer will administer an oath to those members of the public that indicate a desire to testify concerning their views on the issues. The presiding officer will call each member of the public who wishes to testify, will inquire briefly into the identity and interests of the witness, and will provide an opportunity for a brief statement by the party. Typically, public witnesses may expect to have three to five minutes to make an oral statement. Oral statements may be supplemented by written comments.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-498, filed 11/24/03, effective 1/1/04.]

Subpart B: General Rate Proceedings

WAC 480-07-500 General rate proceedings--Statement of policy. (1) Scope of this subpart. This subpart explains the special requirements for certain rate increase filings by electric, natural gas, pipeline, telecommunications, and water companies, low-level radioactive waste sites, and solid waste collection companies.
(2) Inconsistencies with subpart A requirements. If there is any inconsistency between the requirements in subpart B and those in subpart A, the requirements in subpart B control.
(3) Purpose of special rules. The special requirements in subpart B are designed to standardize presentations, clarify issues, and speed and simplify processing.
(4) Summary rejection for failure to comply. The commission may summarily reject any filing for a general rate proceeding that does not conform to the requirements of subpart B. If the commission summarily rejects a filing for a general rate, it will provide a written statement of its reasons and will provide an opportunity for the case to be refiled in conformance with these rules.
(5) Less than statutory notice. The commission may grant requests to alter tariffs on less than statutory notice for good cause shown, in accordance with RCW 80.28.060 and 81.28.050. A company that seeks to implement general rate proceeding tariff changes on less than statutory notice must include with its filing a complete explanation of the reasons that support such treatment.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-500, filed 11/24/03, effective 1/1/04.]

WAC 480-07-505 General rate proceedings--Definition. (1) Rate filings that are considered general rate proceedings. A general rate proceeding filing is a filing by any regulated company specified in WAC 480-07-500 for an increase in rates that meets any of the following criteria:
(a) The amount requested would increase gross annual revenue of the company from activities regulated by the commission by three percent or more.
(b) Tariffs would be restructured such that the gross revenue provided by any customer class would increase by three percent or more.
(c) The company requests a change in its authorized rate of return on common equity or a change in its capital structure.
(d) The company is a solid waste company regulated under chapter 81.77 RCW, except for filings specified under subsection (3)(a) of this section.
(2) Rate filings under Title 80 RCW that are not considered general rate proceedings. The following proceedings are not considered general rate increases even though the revenue requested may exceed three percent of the company's gross annual revenue from Washington regulated operations:
(a) Periodic rate adjustments for electric and natural gas companies that may be authorized by the commission (e.g., power cost adjustments and purchased gas cost adjustments).
(b) Emergency or other short-notice increases caused by disaster or weather-related conditions unexpectedly and substantially increasing a public service company's expense.
(c) Rate increases designed to recover government-imposed increases in costs of doing business such as changes in tax laws or ordinances.
(d) Other increases designed to recover increased expenses arising on short notice and beyond a public service company's control.
(3) Rate filings under chapter 81.77 RCW that are not considered general rate proceedings. The following filings are not considered general rate proceedings for solid waste companies regulated under chapter 81.77 RCW even though the request may meet one or more criteria identifying general rate proceedings:
(a) Filings by companies that provide neither traditional residential or commercial solid waste operations. This category includes specialized carriers generally hauling specific waste products for specific customers and carriers providing only on-call or nonscheduled service (i.e., "class C" companies, as defined in WAC 480-70-041).
(b) Disposal fee pass-through charges for drop-box service, provided there are no affiliated interest relationships.
(c) Filings for collection of per-customer pass-through surcharges and taxes imposed by the jurisdictional local government based on the current year customer count either as a specified dollar amount or percentage fee amount.
(d) Filings by existing solid waste companies for the implementation of new solid waste collection programs.
(4) Commission discretion. The commission may require that any filing or proposal by a regulated company to increase rates for any customer class, or to restructure rates, is subject to the procedures and protections of subpart B of these rules.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-505, filed 11/24/03, effective 1/1/04.]

WAC 480-07-510 General rate proceedings--Electric, natural gas, pipeline, and telecommunications companies. General rate proceeding filings for electric, natural gas, pipeline, and telecommunications companies must include the information described in this section. The commission may reject a filing that fails to meet these minimum requirements, without prejudice to the company's right to refile its request in conformance with this section. The company must provide:

Testimony and exhibits.

Tariff sheets.

Work papers and accounting adjustments.

Summary document.

Cost studies.

Other.

WAC 480-07-520 General rate proceedings--Solid waste collection companies. General rate increase filings by class A and B haulers as defined in WAC 480-70-041 must include the information described in this rule. The commission may reject a filing that fails to meet these minimum requirements, without prejudice to the company's right to refile its request in conformance with this section.

Proposed tariff.

Local government ordinances and notices.

Transmittal letter.

Work papers.

Annual report.

WAC 480-07-530 General rate proceedings--Water companies. General rate increase filings by water companies must include the information described in this section. The commission may summarily reject a filing that fails to meet these minimum requirements, without prejudice to the company's right to refile its request in conformance with this section.
(1) Cover letter. The cover letter must:
(a) Provide a description of the filing, and the requested action, in understandable terms;
(i) Technical terms are acceptable, but descriptions must use common terms so the public can easily understand the impact of the filing;
(ii) Acronyms, if used, must be defined before they are used in the text of the letter;
(b) State why the filing is being made (e.g., increased costs for water testing);
(c) Describe each service that is impacted and the dollar and percentage change for each service as well as the net impact of all changes on the company's total regulated revenue.
(2) Tariff. The proposed tariff must include explanatory markings.
(3) Customer notice. A copy of the notice mailed to customers.
(4) Work papers. The supporting work papers for the test period including:
(a) A calculation of the revenue impact of proposed rates by each class affected;
(b) Balance sheet and statement of revenues and expenses;
(c) Depreciation schedule;
(d) Adjustments proposed including a schedule showing adjustments to the statement of revenues and expenses, including any restating adjustments and/or pro forma adjustments including the effect of proposed rates;
(e) Work papers that explain both restating and pro forma adjustments that the company proposes, specifying all relevant assumptions, and including specific references to charts of accounts, financial reports, studies, and all similar records relied on by the company in preparing its filing, and its supporting testimony and exhibits.
(i) "Restating actual adjustments" adjust the booked operating results for any defects or infirmities in actual recorded results, which can distort test period earnings. Restating actual adjustments are also used to adjust from an as-recorded basis to a basis that is acceptable for rate making. Examples of restating actual adjustments are adjustments to remove prior period amounts, to eliminate below-the-line items that were recorded as operating expenses in error, to adjust from book estimates to actual amounts, and to eliminate or to normalize extraordinary items recorded during the test period.
(ii) "Pro forma adjustments" give effect for the test period to all known and measurable changes that are not offset by other factors. The filing must identify dollar values and underlying reasons for each proposed pro forma adjustment.
(f) Usage statistics verifying test year revenues and proposed revenues.
(g) Public water system identification number assigned by the Washington department of health for each system that the new rates will affect.
(h) Schedule showing separation of revenues and expenses between regulated and nonregulated operations.
(i) Information about every transaction with an affiliated interest or subsidiary that directly or indirectly affects the proposed rates. This must include: A full description of the relationship, terms and amount of the transaction, the length of time the relationship has been ongoing, and an income statement and balance sheet for every affiliated entity.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-530, filed 11/24/03, effective 1/1/04.]

WAC 480-07-540 General rate proceedings--Burden of proof. Public service companies bear the burden of proof in general rate proceedings that propose changes that would increase any rate, charge, rental, or toll, as provided in RCW 80.04.130 or 81.04.130. The burden of proof includes the burden of going forward with evidence and the burden of persuasion. The commission will consider the company's prefiled evidence to be its full direct case in support of its rate filing for purposes of deciding any prehearing motion to dismiss under WAC 480-07-380.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-540, filed 11/24/03, effective 1/1/04.]

WAC 480-07-550 General rate proceedings--Compliance filings and other resulting filings. WAC 480-07-880 and 480-07-883 govern compliance filings and other filings that the commission authorizes or requires in a general rate proceeding.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-550, filed 11/24/03, effective 1/1/04.]

Subpart C: Abbreviated and Specialized Forms of Adjudicative Proceedings

WAC 480-07-600 Scope. Subpart C of this chapter establishes rules for abbreviated and specialized adjudicative proceedings, including brief adjudicative proceedings, emergency adjudicative proceedings, proceedings under the Telecommunications Act of 1996, and proceedings concerning the closure of highway-railroad grade crossings.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-600, filed 11/24/03, effective 1/1/04.]

WAC 480-07-610 Brief adjudicative proceedings. (1) When permitted. The commission may use brief adjudicative proceedings under RCW 34.05.482 when doing so is consistent with other provisions of law, when protection of the public interest does not require the commission to give notice and an opportunity to participate to persons other than the parties, and when the commission believes that the brief adjudication is consistent with the public interest. In exercising its discretion to conduct a brief adjudication, the commission will consider the preferences of the parties, the possible benefits to be gained from a brief adjudication, and the nature of issues involved.
(2) Matters suitable for brief adjudication. Categories of proceedings suitable for brief adjudication include, but are not necessarily limited to:
(a) Review of denials or partial denials of applications that are not protested.
(b) Contested applications for temporary authority.
(c) Proceedings that could lead to suspension, cancellation, or revision of authority for failure to maintain tariffs, pay fees, or file required documents.
(d) Formal complaints in which notice and an opportunity to participate in the proceeding need not be given to persons other than the parties.
(e) Petitions for mitigation of penalty assessments under RCW 80.04.405 and 81.04.405, including any challenge to the validity of a penalty assessment or the existence of an underlying violation.
(3) How to request brief adjudication. Any person may apply for a brief adjudicative proceeding by filing with the secretary of the commission a letter stating reasons why a brief adjudication should be used and a certificate of service upon all other identified or necessary parties. The commission may set a matter for brief adjudication on its own motion when doing so will not prejudice the rights of any person. Each applicant for a brief adjudicative proceeding must submit a written explanation of its view of the issues along with its application. Parties may file written submissions as provided in the commission's notice that it will conduct the brief adjudicative proceeding.
(4) Assignment of presiding officer. If the commission grants the request for a brief adjudication, it will designate a person to serve as a presiding officer consistent with the requirements of RCW 34.05.485.
(5) Requesting and presenting oral comments.
(a) Request. A party to a brief adjudicative proceeding may request to make an oral statement in the application or in a response to the application. The presiding officer may grant a request to make an oral statement or may ask the parties to make oral statements if the presiding officer believes an oral statement will help in reaching a decision.
(b) Notice. The commission will serve upon the parties a notice of the time and place for the brief adjudicative proceeding and the name and telephone number of the designated presiding officer at least seven days before the proceeding.
(6) Initial order. The presiding officer may make an oral statement of the reasons for the decision during the brief adjudication if the party affected is present at the proceeding. The presiding officer will enter an initial order that addresses the issues raised by the application within ten days after the date of the brief adjudication. The initial order will be served on the parties pursuant to WAC 480-07-150 (3) and (7).
(7) Review of initial orders.
(a) Timing. Any party may file a written petition for review of an initial order in a brief adjudication within twenty-one days after service of the initial order and the commission will review the initial order. The commission may review an initial order on its own motion.
(b) Format for petition for review. The commission encourages written petitions for review so parties will have the greatest opportunity to state reasons for their views. A written request for review of an initial order must contain an explanation of the party's view of the matter, with a statement of reasons why the initial order is incorrect, and a certificate of service. Oral petitions for review are permitted under RCW 34.05.488.
(c) Response. The commission encourages written responses. Any written response to a petition for review must be filed with the commission and served to the other parties within seven days after service of the petition for review, or on a schedule set by the presiding officer. The commission may hear orally any response to an oral petition for review.
(8) Final order on review. The commission may adopt, modify, reject, or remand the initial order for further proceedings consistent with the terms of its final order. The final order on review will be in writing, will include a brief statement of the reasons for the decision, and will be entered within twenty days after the deadline for requesting review or of the request for review, whichever is later. The order must include a notice of any further available administrative review or, if none is available, a notice that judicial review may be available.
(9) Final order without review. If no party seeks review of the initial order, the commission may enter an order adopting the initial order as its final order.
(10) Record. The record in a brief adjudicative proceeding consists of any documents regarding the matter that were considered or prepared by the presiding officer for the brief adjudicative proceeding or by the reviewing officer for any review. The agency's record need not constitute the exclusive basis for action, unless otherwise required by law.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-610, filed 11/24/03, effective 1/1/04.]

WAC 480-07-620

Emergency adjudicative proceedings.

When permitted.

Complaint.

Who presides.

Record and decision.

Emergency order.

Post-order process.

Review or reconsideration of emergency order.

WAC 480-07-630 Telecommunications companies--Arbitration under the Telecommunications Act of 1996. (1) Scope. This rule implements the arbitration provisions of sections 251 and 252 of the Telecommunications Act of 1996, 47 U.S.C. �� 251 and 252.
(2) Nature of the proceeding. Arbitrations that the commission conducts pursuant to 47 U.S.C. � 252 are subject to judicial review. Arbitration under this section, however, is not an adjudicative proceeding under the Washington Administrative Procedure Act, chapter 34.05 RCW. Arbitration decisions are binding only upon the parties to the arbitration. Arbitration under this section should be characterized by fairness, cooperation and openness between or among the parties, and is designed to resolve disputes efficiently and economically.
(3) Intervention; public counsel. Arbitrations typically involve only the parties to the negotiation. Others may ask to participate but will be allowed to do so only upon a showing of compelling public interest. The public counsel section of the office of attorney general may elect to participate pursuant to RCW 80.04.510.
(4) Filing and service of a petition for arbitration.
(a) When allowed. During the period from the 135th to the 160th day (inclusive) after the date on which an incumbent local exchange carrier receives a request for negotiation under 47 U.S.C. � 252 (b)(1), any party to the negotiation may petition the commission to arbitrate all issues that remain unresolved. Parties may continue to negotiate in good faith and may continue to participate in mediation to resolve the disputed issues after arbitration is requested.
(b) Filing. Parties must file petitions for arbitration under section 252 (b)(2) as provided for other petitions under WAC 480-07-145, and must follow the format requirements for pleadings in WAC 480-07-395.
(c) Service. A party that files a petition for arbitration must deliver a complete copy of the petition and all accompanying documentation to the other party or parties to the negotiation on the same day that the petition is filed with the commission.
(5) Contents of petition and documentation. A petition for arbitration filed under this section must:
(a) State the date on which the original request for negotiation was received, and the dates one hundred thirty-five days and one hundred sixty days after the request was received;
(b) Include a brief statement of each unresolved issue and a summary of each party's position with respect to each issue;
(c) State all proposed rates or charges, if prices are in dispute, and all relevant cost studies and related supporting materials that are available to the petitioner;
(d) State any conditions that the petitioning party requests be imposed;
(e) Recommend any information that the arbitrator should request from the parties pursuant to 47 U.S.C. � 252 (b)(4)(B), including an explanation of why the information is necessary for the arbitrator to reach a decision on the unresolved issues; and
(f) Be accompanied by all relevant documentation including:
(i) A current draft of the interconnection agreement, if available, with all agreed provisions in standard typeface and all unresolved issues in bold typeface;
(ii) A legal brief that addresses the disputed issues, including discussion of how the parties' positions, and any conditions requested, meet or fail to meet the requirements of 47 U.S.C. �� 251 and 252, any applicable FCC regulations, and any applicable regulation, order, or policy of this commission; and
(iii) Any other documents relevant to the dispute, including copies of all documents the petitioner relies on to support its positions or that it intends to introduce as exhibits at the hearing.
(6) Filing and service of an answer to a petition for arbitration.
(a) When allowed. Any party to the negotiation may respond to a petition for arbitration and may file with the commission such additional information as it wishes within twenty-five days after the petition is filed.
(b) Filing. Answers to petitions for arbitration under section 252 (b)(2) must be filed with the commission in the manner provided for answers to other petitions under WAC 480-07-145, and must follow the format requirements for pleadings under WAC 480-07-395.
(c) Service. A party responding to a petition for arbitration must deliver to the petitioner and any other party or parties to the negotiation a complete copy of the answer and all accompanying documentation on the same day that the response is filed with the commission.
(7) Contents of answer and required documentation. An answer to a petition for arbitration filed under this section must:
(a) State whether the respondent disputes the date the petitioner asserts was the date on which the respondent received the original request for negotiation, or disputes any subsequent dates stated in the petition in conformance with subsection (5)(a) of this section;
(b) Include a brief statement of each unresolved issue and a summary of each party's position with respect to each issue;
(c) State all proposed rates or charges, if prices are in dispute, and all relevant cost studies and related supporting materials that are available to the respondent;
(d) State any conditions that the responding party requests be imposed;
(e) Recommend any information that the arbitrator should request from the parties pursuant to 47 U.S.C. � 252 (b)(4)(B), including an explanation of why the information is necessary for the arbitrator to reach a decision on the unresolved issues; and
(f) Be accompanied by all relevant documentation including:
(i) A current draft of the interconnection agreement, if available and different from any draft agreement submitted with the petition, with all agreed provisions in standard typeface and all unresolved issues in bold typeface;
(ii) A legal brief that addresses the disputed issues, including discussion of how the parties' positions, and any conditions requested, meet or fail to meet the requirements of 47 U.S.C. �� 251 and 252, any applicable FCC regulations, and any applicable regulation, order, or policy of this commission; and
(iii) Any other documents relevant to the dispute, including copies of all documents the respondent relies on to support its positions or that it intends to introduce as exhibits at the hearing.
(8) Verification. The petition, answer, and all documentation filed must be verified as provided by WAC 480-07-395, or submitted by affidavit or declaration.
(9) Confidentiality; protective order. Petitions, answers, and any documents a party provides to the commission pursuant to a request under section 252 (b)(4)(B) are subject to Washington's public disclosure laws, including chapter 42.17 RCW and RCW 80.04.095. Confidential information submitted with a petition for arbitration or answer is subject to the protections and procedures set out in WAC 480-07-160. A party may include in its petition or response a request that the commission enter a protective order.
(10) Discovery. Parties must cooperate in good faith in the voluntary, prompt and informal exchange of all documents and other information relevant to the disputed issues, subject to claims of privilege or confidentiality. A party's failure to cooperate in discovery may be treated as a failure to negotiate in good faith. The arbitrator will schedule a discovery conference for a date ten days after the deadline for responses to the petition for arbitration, subject to rescheduling or cancellation if all parties agree. During the conference, the arbitrator will review the asserted need for any additional discovery, including requests for information by the arbitrator pursuant to 47 U.S.C. � 252 (b)(4)(B). Parties may submit to the arbitrator any discovery requests not responded to by the time of the conference and request that the arbitrator order the discovery. The arbitrator or the commission may request information from the parties pursuant to 47 U.S.C. � 252 (b)(4)(B) at any time.
(11) Appointment and authority of arbitrator.
(a) Appointment. One or more commissioners, one or more commission employees appointed by the commission, or one or more persons under contract with the commission may be designated as arbitrator(s) when a petition for arbitration is filed. The commission will not appoint an arbitrator who previously mediated a dispute between the same parties concerning the same interconnection agreement, unless the parties consent in writing or no other arbitrator is available to the commission. The commission will advise the parties of the appointment by entry of an order on arbitration procedure. The commission, in its discretion, may permit parties to comment on the selection of the arbitrator.
(b) Authority. Arbitrators will exercise all authority reasonable and necessary to conduct arbitration under the provisions of this rule, the commission's orders on arbitration procedure, and other provisions of law. Other members of the commission's staff may assist an arbitrator, but a staff member who has acted as a mediator with respect to the same interconnection agreement between the same parties may not be consulted. The arbitrator will issue the arbitrator's report within one hundred ten days after the date on which the petition for arbitration was filed. The arbitrator's report satisfies the commission's responsibility to resolve the disputed issues under 47 U.S.C. � 252 (b)(4)(C).
(12) Consolidation. The commission or an arbitrator may consolidate arbitration proceedings to reduce burdens on telecommunications carriers, parties to arbitration proceedings, and the commission.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-630, filed 11/24/03, effective 1/1/04.]

WAC 480-07-640 Telecommunications companies--Review and approval of interconnection agreements under the Telecommunications Act of 1996. (1) Scope. This rule implements the commission review and approval process provisions of section 252 of the Telecommunications Act of 1996, 47 U.S.C. � 252.
(2) Review and approval of agreements by the commission.
(a) Filing and service of agreements for approval.
(i) Negotiated agreements. Parties to a negotiated interconnection agreement must submit a complete, signed copy of their agreement to the commission for approval under 47 U.S.C. � 252(e) within thirty days after the agreement is signed. Any appendices or attachments to the agreement must be included. The request for approval must summarize the agreement's main provisions. The request for approval must affirm that the agreement does not discriminate against nonparty carriers, is consistent with state and federal law, and is in the public interest. The commission will reject a request for approval that does not include all of the information required in this section but will allow it to be refiled when complete. The timelines established for commission review of requests for approval under 47 U.S.C. � 252 do not begin until a complete request is properly filed.
(ii) Arbitrated agreements--Petition for review; answer. Any party may petition for commission review of an arbitrator's report and decision within thirty days after the arbitrator's report is issued, or at such other time as is established by notice or order. Other parties to the arbitration proceeding must file an answer within ten days after the petition is served, or at such other time as is established by notice or order. Both petition and answer must be in the form of a brief of the issues, and must address all legal and factual bases in support of the parties' respective arguments that the arbitrator's report and decision should, or should not, be modified.
(iii) Arbitrated agreements--Request for approval. The parties must also file, on the date established for answering any petition for review, their request for approval of an arbitrated interconnection agreement and a complete, signed copy of their interconnection agreement including all negotiated terms, all terms requested under section 252(i) of the Telecommunications Act of 1996, and all terms drafted to implement the arbitrator's report and decision. Arbitrated terms must be in bold font style and identify by footnote the arbitrated issue that relates to the text. Any appendices or attachments to the agreement must be included. The request for approval must summarize the agreement's main provisions. The request for approval must affirm that the agreement does not discriminate against nonparty carriers, is consistent with state and federal law, and is in the public interest. The commission will reject a request for approval that does not include all of the information required in this section but will allow it to be refiled when complete. The timelines established for commission review of requests for approval do not begin until a complete request is properly filed.
(iv) Filing and service. Parties must file requests for approval with the commission secretary, as provided in WAC 480-07-145. Parties must serve the request for approval on all other parties not filing jointly, as provided in WAC 480-07-150.
(b) Commission consideration of requests for approval and petitions for review. The commission will consider a request for approval of a fully negotiated interconnection agreement at a regularly or specially scheduled open public meeting. The commission will consider any petition for review of an arbitrator's report and decision at hearing, which may, in the commission's discretion, be scheduled coincident with a regularly or specially scheduled open public meeting. The commission may hear oral argument by the parties, oral comment from members of the public, or both. The commission will enter an order approving or rejecting a fully negotiated agreement within ninety days after the date on which the request for approval and interconnection agreement are filed. The commission will enter an order resolving a partially or fully arbitrated agreement within thirty days after the request for approval and interconnection agreement are filed.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-640, filed 11/24/03, effective 1/1/04.]

WAC 480-07-650

Petitions for enforcement of telecommunications company interconnection agreements.

Petitions for enforcement.

What the petition must contain.

How to serve the petition.

Prefiling notice of petition.

Answering a petition.

Contents of the answer.

Filing and service of the answer.

Amendment of petition and answer.

Prehearing conference.

Schedule; mandatory attendance.

Procedural determination.

Means of obtaining additional information.

Consideration as a complaint

Powers of the presiding officer; conversion of proceeding; recommended or final decision.

Conduct of proceeding.

Recommended decision.

Review of the recommended decision.

Commission decision on petition for enforcement.

Extent of commission discretion.

Time of service.

Petition for reconsideration.

Failure to comply with the order.

WAC 480-07-660 Railroad grade-crossing closures--Objections. (1) Filing. Anyone who objects to a highway-railroad grade crossing closure under RCW 81.53.060 must file an objection in writing within twenty days after publication of notice of the proposed closure. The objection must:
(a) Identify the person or persons who object by full name and mailing address;
(b) Identify the particular crossing that is the subject of the objection;
(c) State the commission docket number, if known; and
(d) Explain the basis for the objection.
If a communication does not meet these requirements, the commission will not treat the communication as an objection when determining whether a hearing is required under RCW 81.53.060.
(2) Party status; appearances; service of final order. Filing an objection does not make a person a party to a proceeding under RCW 81.53.060. A person who wishes to participate as a party must enter an appearance at the first hearing session, as prescribed by WAC 480-07-340. A person who fails to establish party status by appearance may file a "late-filed petition to intervene" as provided in WAC 480-07-355. A person must establish party status to be entitled to service of any initial order or the commission's final order in the matter. Persons who are not parties may receive a courtesy copy of any initial or final order on request.
(3) Other interested persons. Interested persons who are not parties will be provided an opportunity to be heard and offer evidence, as required by RCW 81.53.060. Interested persons who are not parties may not call witnesses, cross-examine witnesses, or otherwise participate as a party. Interested persons who are not parties do not have standing to file petitions for administrative review of initial orders or to file petitions for reconsideration of final orders.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-660, filed 11/24/03, effective 1/1/04.]

Subpart D: Alternative Dispute Resolution

WAC 480-07-700 Alternative dispute resolution. The commission supports parties' informal efforts to resolve disputes without the need for contested hearings when doing so is lawful and consistent with the public interest, and subject to approval by commission order. Alternative dispute resolution (ADR) includes any mechanism to resolve disagreements, in whole or in part, without contested hearings.

No delegation of commission authority.

Forms of ADR.

Settlement conference.

Initial settlement conference.

Early initial settlement conference.

ADR guidelines.

WAC 480-07-710 Mediation. (1) Scope. This rule applies generally to settlement negotiations in which the commission agrees to assign a qualified mediator to assist the parties. This rule applies specifically to implement the mediation provisions of sections 251 and 252 of the Telecommunications Act of 1996, 47 U.S.C. �� 251 and 252.

Commission participation.

Mediators.

Process.

Fees and costs.

Notice to commission.

WAC 480-07-720 Collaboratives. (1) Defined; membership. A collaborative is a commission-sanctioned negotiation in which interested persons work with each other and representatives of commission staff to achieve consensus on one or more issues, within the commission's jurisdiction, assigned to or identified by the collaborative participants. Any person whose interests may be substantially affected by the result of the collaborative must be given an opportunity to participate. Collaborative participants must inform the commission and seek approval if a collaborative seeks to change its membership or redefine the issues it will address.
(2) Procedure. Participants must develop procedural guidelines for their negotiations when beginning a collaborative and should refer to any commission policy statement(s) that relate to ADR for guidance.
(3) Communication with commission. Communication between the commission and collaborative participants may be through commission staff assigned to serve as a neutral third party in the collaborative, or through the commission secretary, subject to agreement among the participants to the form and substance of any such communication.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-720, filed 11/24/03, effective 1/1/04.]

WAC 480-07-730 Settlement. A settlement is an agreement among two or more parties to a proceeding, filed with the commission as a proposed resolution of one or more issues. Parties must submit an electronic copy of the settlement agreement in the format identified in WAC 480-07-140(6).

Full settlement.

Partial settlement.

Multiparty settlement.

Notice to commission.

WAC 480-07-740 Settlement consideration procedure. The commission must determine whether a proposed settlement meets all pertinent legal and policy standards. The commission must have a reasonable opportunity to hear parties' views on why the settlement should be approved and adopted, to ask questions of the parties, and to conduct its processes in an orderly fashion. Parties must, therefore, consider the timing and the content of the settlement presentation to the commission.
(1) Settlement presentation timing. Parties must file a proposed settlement with a recommended effective date that allows the commission sufficient time to schedule a formal settlement hearing and provide an opportunity for public comment when the commission, after consulting the parties, determines that such comment is needed. The commission must have sufficient time to deliberate and to prepare an order responding to the proposal. The parties must allow sufficient time for the filing, review, and approval of any required compliance filing.
(a) General rate proceedings. In general rate proceedings or matters of comparable complexity, parties must allow at least thirty days between filing a proposed settlement agreement and the requested effective date of any tariff changes or other terms and conditions of the settlement.
(b) Less complex matters. In matters that are less complex, parties must allow at least twenty-one days between filing a proposed settlement agreement and the requested effective date for any tariff changes or other terms and conditions of the settlement.
(c) Notice to commission; inquiries regarding arrangements for review. Parties should inform the commission at the earliest opportunity when it appears that they may reach a settlement and ask the commission to make tentative arrangements for review. Parties may direct informal inquiries to the supervisor of the commission's administrative law function or the supervisor's designee.
(d) Hearing. The commission will schedule a hearing to consider a proposed settlement if the commission believes that a hearing will assist it to decide whether to adopt the proposal.
(e) Timing; requested effective date. The commission will endeavor to meet the parties' requested effective date, but cannot guarantee that it will be able to do so.
(2) Settlement presentation contents. When filing a proposed settlement agreement, parties must also file supporting documentation sufficient to demonstrate to the commission that the proposal is consistent with law and the public interest and that it is appropriate for adoption.
(a) Narrative. Supporting documentation should include a narrative outlining the scope of the underlying dispute; the scope of the settlement and its principal aspects; a statement of parties' views about why the proposal satisfies both their interests and the public interest; and a summary of legal points that bear on the proposed settlement. The documentation may be in the form of a memorandum, supporting prefiled testimony, brief, or other form that serves the same functions.
(b) Testimony. Each party to a settlement agreement must offer to present one or more witnesses to testify in support of the proposal and answer questions concerning the settlement agreement's details, and its costs and benefits. Proponents of a proposed settlement must present sufficient evidence to support its adoption under the standards that apply to its acceptance. Counsel must make a brief presentation of the settlement, and address any legal matters associated with it. Counsel must be available to respond to questions from the bench regarding those subjects.
(c) Rights of opponents of a proposed settlement. Parties opposed to the commission's adoption of a proposed settlement retain the following rights: The right to cross-examine witnesses supporting the proposal; the right to present evidence opposing the proposal; the right to present argument in opposition to the proposal; and the right to present evidence or, in the commission's discretion, an offer of proof, in support of the opposing party's preferred result. The presiding officer may allow discovery on the proposed settlement in the presiding officer's discretion.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-740, filed 11/24/03, effective 1/1/04.]

WAC 480-07-750 Commission discretion to accept settlement, impose conditions, or reject a proposed settlement. (1) The commission may decide whether or not to consider a proposed settlement. The commission will approve settlements when doing so is lawful, when the settlement terms are supported by an appropriate record, and when the result is consistent with the public interest in light of all the information available to the commission.

Subpart E: Orders and Post-order Process

WAC 480-07-800 General; definitions. (1) "Entry" of an order means the signing of the order by all persons who are to sign the order, as an official act indicating that the order is to be effective. Each order will state the date on which it is entered.
(2) An order is effective when entered, unless an effective date other than the date the order is entered is specified in the order.
(3) "Service" of an order means placing copies of the order in the U.S. mail, postage prepaid, addressed to all parties and any other persons required by law to be served. Each order will state the date on which it is served. The service date of an order governs the determination of time limits for further administrative procedure or for judicial review.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-800, filed 11/24/03, effective 1/1/04.]

WAC 480-07-810 Interlocutory orders. (1) Defined. Orders entered during the course of an adjudicative proceeding are "interlocutory orders," as distinguished from initial orders that may be entered by an administrative law judge at the conclusion of a proceeding and final orders entered by the commission at the conclusion of a proceeding. Examples of interlocutory orders are orders concerning a party's participation in a proceeding, orders concerning discovery, and orders that relate to proposed evidence.
(2) When review is available. Interlocutory review is discretionary with the commission. The commission may accept review of interim or interlocutory orders in adjudicative proceedings if it finds that:
(a) The ruling terminates a party's participation in the proceeding and the party's inability to participate thereafter could cause it substantial and irreparable harm;
(b) A review is necessary to prevent substantial prejudice to a party that would not be remediable by post-hearing review; or
(c) A review could save the commission and the parties substantial effort or expense, or some other factor is present that outweighs the costs in time and delay of exercising review.
(3) Process for seeking review. Any party may petition for review of an interlocutory order. Petitions for interlocutory review must be filed and served on other parties within ten days after service of the order or issuance of the ruling for which review is requested. The petition must state why the ruling is in error or should be changed and why interlocutory review is necessary, and must cite reasons that support the petition. Answers must be filed within ten days after the petition is filed. The commission may alter these filing deadlines when doing so is consistent with the public interest.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-810, filed 11/24/03, effective 1/1/04.]

WAC 480-07-820 Initial and final orders. (1) Defined.
(a) Initial orders. "Initial orders" dispose of the merits in a proceeding that is conducted before an administrative law judge and are entered over the signature of the administrative law judge. Initial orders include those that grant dispositive motions (e.g., motions to dismiss and motions for summary determination) and orders that resolve contested issues on the basis of the official record in a proceeding. All initial orders are subject to further action by the commission as provided in WAC 480-07-825.
(b) Final orders. "Final orders" dispose of the merits of a proceeding following consideration by the commissioners and are entered over the signatures of a majority of the commissioners. Final orders include those that grant dispositive motions (e.g., motions to dismiss and motions for summary determination) and orders that resolve contested issues on the basis of the official record in a proceeding. Final orders may be entered whenever:
(i) The commissioners personally preside over a proceeding;
(ii) The commissioners enter an order following administrative review of an initial order in response to a timely petition for administrative review;
(iii) The commissioners enter an order after the period available for petitions for administrative review and no such petition has been filed;
(iv) All of the parties to a proceeding waive their right to an initial order; or
(v) The commissioners enter an order following the timely filing of a petition for reconsideration of a final order or a petition for rehearing of a final order.
(2) Service. The commission will serve a copy of any initial order and the commission's final order to each party of record and to the party's attorney or other authorized representative pursuant to RCW 34.05.461(9) and WAC 480-07-150(3).
(3) Timing. The presiding officer will enter an initial order within sixty days after the commission receives transcripts following the close of the record, hears oral argument (if allowed or required), initial briefs are filed, or reply briefs are filed, whichever occurs last. The commission will enter its final order within ninety days after the commission receives transcripts following the close of the record, hears oral argument (if allowed or required), initial briefs are filed, or reply briefs are filed, or the commission receives a petition for administrative review or an answer to a petition for review, whichever occurs last. The presiding officer or the commission may alter the time for entry of an initial or final order by notice to the parties.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-820, filed 11/24/03, effective 1/1/04.]

WAC 480-07-825 Initial orders--Petitions for administrative review. (1) When a petition for administrative review is appropriate. A party who wishes to challenge any finding of fact, conclusion of law, remedy, or result proposed by an initial order may file a petition for administrative review. A party also may file a petition for administrative review to challenge the reasons stated in support of any result reached in an initial order. The commission will accept only one petition for administrative review from any party.
(2) Timing of petition. Any party to an adjudicative proceeding may file and serve a petition for administrative review within twenty days after the initial order is served. The commission may extend the time on a showing of good cause.
(3) Contents; length. Petitions for administrative review must clearly identify the nature of each challenge to the initial order, the evidence, law, rule or other authority that the petitioner relies upon to support the challenge, and state the remedy that the petitioner seeks. Petitions for review of initial orders must be specific. The petitioner must separately state and number every contention. A petition that challenges a finding of fact must cite the pertinent page or part of the record or must otherwise state the evidence it relies on to support its petition, and should include a recommended finding of fact. A petition that challenges a conclusion of law must cite the appropriate statute, rule, or case involved and should include a recommended conclusion of law. A petition that challenges the summary or discussion portion of an initial order must include a statement showing the legal or factual justification for the challenge, and a statement of how the asserted defect affects the findings of fact, the conclusions of law, and the ultimate decision. Petitions for administrative review must not exceed sixty pages, without prior permission from the commission.
(4) Answers.
(a) Who may answer. Any party to the adjudication may answer another party's petition for administrative review.
(b) Filing and service. An answer to a petition for administrative review must be filed and served within ten days after the petition is filed. The commission may designate a different time for filing answers to petitions.
(c) Challenge to order in answer. A party who did not file a petition for administrative review of an initial order may challenge the order or portions of the order in its answer to the petition of another party.
(5) Reply.
(a) By right. A party has the right to reply to new challenges to the order that are raised under subsection (c) of this section.
(b) By leave of commission. A party otherwise has no right to reply to an answer, but may petition for leave to reply, citing new matters raised in the answer and stating why those matters were not reasonably anticipated and why a reply is necessary. The petitioner may attach a reply to the petition for leave to accept the reply.
(c) Timing. A reply under (a) of this subsection, or a petition for leave to reply under (b) of this subsection, must be filed no later than five days after service of the answer. The commission may extend the time upon a showing of good cause.
(6) Oral argument. The commission may hear oral argument on a petition for administrative review at a time and place the commission designates by notice to all parties to the proceeding. A party who desires to present oral argument may request argument, stating why oral argument is necessary to assist the commission in making its decision and why written presentations will be insufficient.
(7) Initial order finality.
(a) The initial order of an administrative law judge will become a final order of the commission unless, within the time for filing petitions for administrative review:
(i) A party petitions for administrative review, or receives an extension of time to file a petition for administrative review and files within the extended period; or
(ii) The commission serves a notice to the parties of its intention to review the initial order.
(b) Parties who seek finality of an initial order before the end of the petition period may waive the right to seek administrative review. If all parties waive review, the order will become final on the day the commission declines to exercise administrative review or when the time for exercising review ends. If the commission exercises administrative review, all parties may state objections and responses as permitted in subsection (8) of this section.
(c) An initial order that becomes final by operation of law does not reflect a decision by the commissioners and has no precedential value. Such orders, if cited, must be identified as ALJ orders.
(8) Designation for review. The commission may designate an initial order for administrative review by serving on the parties a notice of its intention to review the order. The notice will identify the docket number and the title of the proceeding, a time period within which the parties may state objections to the initial order, and a time to respond to others. The notice may invite the parties to address specific issues relating to the initial order.
(9) Final order. The commission may by final order adopt, modify, or reject an initial order after considering the pleadings and the record. Alternatively, the commission may remand the matter for further proceedings with instructions to the presiding officer.
(10) Judicial review. The statutory time for filing a petition for judicial review commences when the commission serves its final order, when an initial order becomes final under RCW 80.01.060(3) and subsection (7) of this section, or when a petition for reconsideration is deemed denied as a matter of law, as provided in RCW 34.05.470. However, if a party timely files a petition for reconsideration of the final order, and complies with the commission's procedural rules governing reconsideration, the time for filing a petition for judicial review does not commence until the date on which the agency serves an order disposing of the petition for reconsideration, or the date on which the petition is deemed denied as a matter of law, as provided in RCW 34.05.470.

[Statutory Authority: 2006 c 346, RCW 80.01.040 and 80.04.160. 06-17-126 (Docket A-060357, General Order No. R-538), � 480-07-825, filed 8/21/06, effective 9/21/06. Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-825, filed 11/24/03, effective 1/1/04.]

WAC 480-07-830 Motion to reopen the record prior to entry of a final order. Any party may file a motion to reopen the record at any time after the close of the record and before entry of the final order. The commission may reopen the record in a proceeding on its own motion. In uncontested proceedings, the commission may exercise its discretion to reopen the record to allow receipt of written evidence when otherwise lawful. In contested proceedings, the commission may reopen the record to allow receipt of evidence that is essential to a decision and that was unavailable and not reasonably discoverable with due diligence at the time of the hearing or for any other good and sufficient cause. The commission will give all parties an opportunity to respond to any evidence received after the record is closed. The commission may enter a final order or may return the matter to the presiding officer for further consideration, including further hearing or other process when appropriate.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-830, filed 11/24/03, effective 1/1/04.]

WAC 480-07-835 Clarification of final order by motion. (1) Motion - when appropriate. Any party who does not seek to change the outcome with respect to an issue may file a motion for clarification of a final order within ten days after the order is served. The purpose of a motion for clarification is to ask for clarification of the meaning of an order so that compliance may be enhanced, so that any compliance filing may be accurately prepared and presented, to suggest technical changes that may be required to correct the application of principle to data, or to correct patent error without the need for parties to request reconsideration and without delaying post-order compliance. A motion for clarification may also request that obvious or ministerial errors in orders be corrected by letter from the secretary or by subsequent order, consistent with WAC 480-07-875.
(2) Motion - when not appropriate. If a party seeks to change an outcome with respect to one or more issues resolved by a final order, or challenge a finding of fact or conclusion of law stated in the order, it may not do so by motion for clarification, but must file a petition for reconsideration pursuant to WAC 480-07-850.
(3) Response. No party may file a response to a motion for clarification unless requested by the commission.
(4) Tolling. Filing a petition for clarification tolls the time for judicial review but does not toll the time for compliance with the final order of which clarification is sought.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-835, filed 11/24/03, effective 1/1/04.]

WAC 480-07-840 Clarification of a final order by conference. The commission may schedule an order conference on its own motion or at a party's request. The commissioners may personally attend the conference or may designate one or more persons to attend on their behalf. The commission will determine whether an order conference will be recorded.
(1) Purpose. The purpose of an order conference is to clarify the meaning of a final order when parties disagree about the order's meaning or requirements. Parties to an order conference may ask for clarification of the meaning of an order to:
(a) Explore and resolve any barriers to compliance;
(b) Ensure that any compliance filing can be accurately prepared and presented;
(c) Propose technical changes that may be required to correct the application of principle to data; or
(d) Correct patent error.
The conference is not a forum for discussing or challenging the evidentiary, legal, or policy decisions expressed in the order. Parties may pursue those remedies through a petition for reconsideration or other means.
(2) Effect. An order conference will not stay the effect of an order, the time for compliance, the time for securing post-order review, or the time for petitioning for judicial review, unless the conference results in a supplemental commission order, which then becomes a final order subject to review. An order conference does not constitute a formal interpretation of an order. The final order that is the subject of an order conference will remain the sole expression of the commission's decision unless supplemented through an additional order.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-840, filed 11/24/03, effective 1/1/04.]

WAC 480-07-850 Reconsideration of a final order by petition. (1) Petition - timing. Any party may petition for reconsideration of a final order within ten days after the order is served. The purpose of a petition for reconsideration is to request that the commission change the outcome with respect to one or more issues determined by the commission's final order.
(2) Petition - contents. The petitioner must clearly identify each portion of the challenged order that it contends is erroneous or incomplete, must cite those portions of the record and each law or commission rule that the petitioner relies on to support its petition, and must present brief argument in support of its petition.
(3) Answer. No party may file an answer to a petition for reconsideration unless requested by the commission. If the commission requests answers to a petition for reconsideration, it will issue a notice stating the date by which answers must be filed and the date by which the commission intends to enter an order resolving the petition.
(4) Oral argument. The commission will not hear oral argument on a petition for reconsideration unless the commission determines on its own motion that oral argument is required.
(5) Disposition. A petition for reconsideration is deemed denied twenty days after the date the petition is filed, unless the commission either:
(a) Enters an order resolving the petition; or
(b) Serves the parties with a written notice specifying the date by which it will act on the petition.
(6) Action. If the commission grants a petition, the commission may modify its prior order or take other appropriate action. If the commission denies the petition, no further action will be taken in the matter with respect to the final order. No party may petition for reconsideration of an order on reconsideration.
(7) Stay. Filing a petition for reconsideration does not automatically stay the effect of an order or serve as a request for a stay. A party may request that the commission stay the effectiveness of an order pending reconsideration by filing a petition for stay pursuant to WAC 480-07-860.
(8) Judicial review. Filing a petition for reconsideration is not a prerequisite for seeking judicial review of a commission final order. If a proper petition for reconsideration is timely filed, the time for filing a petition for judicial review does not commence until the agency serves an order disposing of the petition for reconsideration, or the date on which the petition is deemed denied as a matter of law, as provided in RCW 34.05.470. An order denying reconsideration, or a notice of the time for disposition under subsection (5)(b) of this section is not subject to judicial review.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-850, filed 11/24/03, effective 1/1/04.]

WAC 480-07-860 Stay. Any party may petition to stay of the effectiveness of a final order within ten days after its service, unless otherwise provided by statute or stated in the final order. The commission may stay the effect of a final order on its own initiative. The effect of a final order is not automatically stayed when a party files a motion for clarification, a petition for reconsideration, or a petition for rehearing.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-860, filed 11/24/03, effective 1/1/04.]

WAC 480-07-870 Rehearing. Any person affected by a final order may file a petition for rehearing. Public service companies may seek rehearing under RCW 80.04.200 or 81.04.200.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-870, filed 11/24/03, effective 1/1/04.]

WAC 480-07-875 Amendment, rescission, or correction of order. (1) Amendment or rescission. The commission may alter, amend, or rescind any order that it has entered, after notice to the public service company or companies affected and to all parties in the underlying proceeding, and after allowing an opportunity for hearing as in the case of complaints. Any order altering, amending, or rescinding a prior order will have the same effect as any other final order when served upon the public service company or companies affected.
(2) Correction. The commission may act on its own initiative or on the motion of any party to correct obvious or ministerial errors in orders. The commission may enter a corrected order or effect any corrections by notice or letter. The commission may direct the secretary to effect any corrections by notice or letter. The time for any available post-hearing review begins with the service of the correction, as to the matter corrected.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-875, filed 11/24/03, effective 1/1/04.]

WAC 480-07-880 Compliance filing; subsequent filing; reporting requirement. (1) Compliance filing; compliance order. When the commission enters a final order that authorizes or requires a party to make a filing to implement specific terms of the order with respect to the issues resolved in an adjudicative proceeding by implementing a precisely defined result, the filing is a "compliance filing." For example, a commission final order in a general rate proceeding may authorize or require a party to file original or substitute tariff sheets to implement the terms of the final order. A compliance filing is made under the docket number of the final order to which it relates. A compliance order is an order approving or rejecting a compliance filing.
(2) Subsequent filing. When the commission enters a final order that authorizes or requires a party to make a filing to implement general instructions (e.g., the formulation of policy, or filing of tariffs other than to implement a precisely defined result), the filing initiates a new proceeding that will be assigned a new docket number, and the filing is deemed a "subsequent filing." For example, a commission final order in a complaint proceeding may authorize or require a party to make a tariff filing by a date certain.
(3) Reporting requirement. The commission may enter a final order that requires a party to report periodically to the commission with respect to designated subject matter. The reports must be filed under the docket number of the proceeding in which the final order is entered, unless otherwise specified in the order establishing the requirement or by later letter from the secretary of the commission.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-880, filed 11/24/03, effective 1/1/04.]

WAC 480-07-883 Compliance filing--Filing requirements; timing; commission action. A party must strictly limit the scope of its compliance filing to the requirements of the final order to which it relates. If the commission finds that a compliance filing varies from the requirements or conditions of the order authorizing or requiring it, either by falling short of or by exceeding the authorization, conditions, or requirements of the order, the commission may reject the filing unless it has preapproved the variance. If the commission accepts in error a compliance filing that does not comply with the order authorizing the filing, the commission's acceptance does not validate the noncompliant elements of the filing.

Filing requirements.

Service requirement.

Timing; effective date.

Commission action on compliance filing.

WAC 480-07-885 Subsequent filing--Filing requirements; timing; commission action. (1) Filing and service requirements.
(a) A person who makes a subsequent filing must provide a cover letter that identifies the order and the docket in which the commission required the subsequent filing. The commission will assign a new docket number to a subsequent filing.
(b) A person who makes a subsequent filing that includes tariff sheets must comply with all pertinent requirements for tariff filings of the industry, including the required statutory notice period, unless the commission authorizes the subsequent filing to become effective on less than statutory notice.
(c) A person who makes a subsequent filing must serve a copy of the filing on all parties to the proceeding in which the filing was authorized or required.
(2) Timing. A final order that authorizes or requires a subsequent filing may state the date by which the subsequent filing must be made. If no date for the subsequent filing is specified in the final order, the commission may establish the date by order or by letter from the commission secretary.
(3) Commission action on subsequent filing. The commission will act on a subsequent filing that includes tariff sheets in the same manner that it would act on an original tariff filing of the industry.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-885, filed 11/24/03, effective 1/1/04.]

PART IV: OTHER COMMISSION PROCEEDINGS

WAC 480-07-900 Open public meetings. (1) Regular meetings. The commission will hold regular meetings to conduct business under chapter 42.30 RCW, the Open Public Meetings Act. The commission generally schedules two business meetings per month, usually on Wednesday at 9:30 a.m. in the commission's office in Olympia, Washington. The specific time and place of each business meeting are published, as required, in the Washington State Register and on the commission's internet web site. The commission may cancel a meeting or change the time or place of a meeting and will publish a notice of these changes on its web site.

Special meetings.

Recessed meetings.

Agenda.

"Discussion" agenda.

"No action" agenda.

"Consent" agenda.

Deadlines and schedules.

Staff contact.

Public comment.

Orders.

Modifications.

WAC 480-07-903 Delegation of authority to the executive secretary. (1) General provisions.
(a) The working title of the secretary position authorized in RCW 80.01.030 is "executive secretary."
(b) The commission delegates authority to the executive secretary as set out in this section and WAC 480-07-904 and 480-07-905, pursuant to RCW 80.01.030 and subject to oversight and direction by a majority of the commissioners.
(c) The commission may also delegate functions to the executive secretary by order.
(d) When the executive secretary is absent or otherwise unavailable to perform authorized duties, the commission authorizes the executive secretary's designee to perform the duties on behalf of the executive secretary.
(2) General delegation of authority. The commission authorizes the executive secretary to supervise the general administrative functions of the agency, including without limitation the following specific tasks.
(a) Filings, correspondence and documents. The executive secretary will sign commission documents to be filed with the code reviser, courts, or other agencies or governmental entities. The executive secretary will sign other official commission correspondence and filings that the commissioners do not sign. The executive secretary will sign all permits and other official commission documents.
(b) Appointing authority. The executive secretary is the "appointing authority" for the commission and has authority over appointment, separation, and discipline of commission employees. This authority includes, but is not limited to, appointments, terminations, reductions in force, dismissals, suspensions, and demotions pursuant to WAC 356-30-007 and 356-34-011
(c) Grievance procedure. The commission authorizes the executive secretary to hear bargaining unit employee grievances and enter a final agency decision. The commission reserves the right to hear individual grievances or to select another designee to hear grievances on a case-by-case basis.
(d) Rejection of defective filings. The executive secretary will sign orders or letters rejecting tariffs, contracts, applications, or other filings that do not comply with statutory requirements or commission rules regarding effective dates, required supporting documents, or other standards for a complete filing.
(3) Authority to resolve delegated matters. Matters delegated to the executive secretary by rule are specified in this section and in WAC 480-07-904 and 480-07-905. The executive secretary may exercise discretion to defer any delegated matter to the commissioners for decision.
(4) Authority to sign discretionary orders implementing commission decisions.
(a) Commissioner direction. A majority of the commissioners may direct the executive secretary to sign an order or decision implementing a decision made by a majority of the commissioners.
(b) Commissioner unavailability. When a majority of the commissioners are unavailable to sign and enter decisions and orders of the commission, the executive secretary is authorized to do so without express direction only when:
(i) A majority of the commissioners has previously reached a decision on the merits of the particular matter; and
(ii) In the executive secretary's judgment, in consultation with any available commissioner, entry of the order cannot be deferred pending commissioner availability.
(5) Commission review. Commission review of decisions delegated under RCW 80.01.030 is de novo.

[Statutory Authority: 2006 c 346, RCW 80.01.040 and 80.04.160. 06-17-126 (Docket A-060357, General Order No. R-538), � 480-07-903, filed 8/21/06, effective 9/21/06.]

WAC 480-07-904 Delegation of authority to the executive secretary to decide certain matters. (1) The commission delegates the following matters to the executive secretary for decision. The executive secretary's decision shall take effect immediately on entry of an order or on a later date specified in the order, without prior notice. Upon request, the commission will review the matter under subsection (3) of this section at a commission open meeting.
(a) Applications for funding highway-railroad grade crossing improvements under the grade crossing protection fund for applications under WAC 480-62-405 (1)(a).
(b) Petitions for approval of changes to existing highway-railroad grade crossings, including installation or modification of signals; reconstruction of the crossing; or implementation of changes in design or construction.
(c) Applications by water companies for removal from regulation or for the commission to exercise regulation under RCW 80.04.010.
(d) Applications for approval of:
(i) Fully negotiated telecommunications interconnection agreements; and
(ii) Adoptions of existing interconnection agreements.
(e) Applications for less than statutory notice approval of transportation company fuel surcharges and requests for rate increases limited to passing through costs that are authorized for pass-through, such as tipping fees.
(f) Requests for a commission order establishing that a securities filing complies with RCW 80.08.040.
(g) Requests for assignment of telephone number resources.
(h) Petitions for mitigation of penalties when the petitioner does not request a hearing, or when commission staff supports the request for mitigation.
(i) Requests for approval of service area agreements.
(j) Requests for extensions of time to make filings under deadlines set by rule or order, not including deadlines established in an adjudication.
(2) Notice. The commission will post on its internet web site for at least fourteen days a listing of all matters decided pursuant to subsection (1) of this section, showing the docket number, date of entry of decision, company name and last date for a request for review to be filed. The commission will regularly publish electronic notice of listings to persons requesting such notice. Any person may request notice by alternative means.
(3) Opportunity for review. Any affected person may ask the commission to review any matter delegated under subsection (1) of this section. A person seeking review must file his or her request for commission consideration no later than the fourteenth day after the date of the posting. The commission will grant a late-filed request for review only on a showing of good cause, including a satisfactory explanation of why the person did not timely file the request. The commission will provide a form for this purpose on the commission's web site. The commission will schedule a request for review promptly for consideration and will notify the affected company, and any person requesting review, of the time and place of the open meeting at which review will be taken.

[Statutory Authority: 2006 c 346, RCW 80.01.040 and 80.04.160. 06-17-126 (Docket A-060357, General Order No. R-538), � 480-07-904, filed 8/21/06, effective 9/21/06.]

WAC 480-07-905 Delegation of authority to executive secretary to enter ex parte orders. The commission authorizes the executive secretary to enter the following ex parte orders in the name of the commission in nonadjudicative matters. Notice of the order will be published, and responses must follow the procedure outlined, in WAC 480-07-904 (2) and (3).
(1) Motor freight carriers, chapter 480-14 WAC, (excluding household goods carriers).
(a) Orders and permits authorizing intrastate transportation of general commodities, materials transported by armored car, or hazardous materials if the applicant satisfies the requirements of chapter 480-14 WAC.
(b) Orders and permits authorizing or reflecting change of carrier name and business structure if the carrier satisfies the requirements of chapter 480-14 WAC.
(c) Orders and permits reinstating previously held authority if the carrier meets the requirements of chapter 480-14 WAC.
(d) Orders suspending and/or canceling a permit if the carrier fails to show that it has the required level of insurance in effect for its operations. The order will inform the carrier:
(i) That the permit may be reinstated prior to cancellation if the carrier corrects conditions leading to suspension; and
(ii) That the carrier may contest the suspension and/or cancellation by requesting an adjudication or brief adjudication.
(e) Orders permanently canceling previously suspended permit authority if the carrier fails to correct conditions leading to suspension, and fails to request an adjudication or brief adjudication.
(f) Orders permanently canceling permit authority or dismissing an application by request of carrier or applicant.
(g) Orders dismissing an application after notice to the applicant of failure to meet the requirements of chapter 480-14 WAC.
(2) Household goods carriers, chapter 480-15 WAC.
(a) Permit authority granted by a commission order authorizing permanent, provisional or temporary intrastate transportation of household goods.
(b) Orders and permits authorizing permanent intrastate transportation of household goods if the applicant satisfies the requirements of chapter 480-15 WAC.
(c) Orders and permits authorizing or reflecting change of a carrier's permit name, corporate name, trade name, or addition of a trade name.
(d) Orders authorizing voluntary suspension of permit authority if the carrier satisfies the requirements of chapter 480-15 WAC.
(e) Orders reinstating voluntarily suspended permit authority if the carrier satisfies the requirements of chapter 480-15 WAC.
(f) Orders permanently canceling permit authority or dismissing application by request of carrier or applicant.
(g) Orders suspending and/or canceling a permit if the carrier fails to maintain evidence of required cargo and/or liability insurance coverage. Such orders will inform the carrier that a permit may be reinstated if the carrier corrects conditions leading to suspension and that the carrier may contest the suspension and/or cancellation by requesting an adjudicative or brief adjudicative proceeding.
(h) Orders vacating suspension of a permit if the commission receives the insurance filing during the suspension period and orders of abeyance if the carrier requests a hearing or brief adjudicative proceeding.
(i) Orders canceling previously suspended permit authority if the carrier fails to correct conditions leading to suspension, and fails to request a hearing or brief adjudicative proceeding, during the suspension period.
(j) Orders reinstating previously canceled permit authority if the carrier satisfies the requirements of chapter 480-15 WAC.
(k) Orders rejecting applications for temporary authority if WAC 480-15-285 applies.
(3) Solid waste collection companies--Specialized, chapters 81.77 RCW and 480-70 WAC.
(a) Orders and permits authorizing intrastate solid waste collection services involving unprotested applications in territory not served by any existing carrier.
(b) Orders and permits authorizing change of carrier's corporate name, trade name, or addition of a trade name.
(c) Orders and permits approving unprotested applications to transfer or lease certificate.
(d) Orders suspending a permit if the carrier fails to maintain evidence of the required liability insurance coverage. The order will inform the carrier that the permit may be reinstated if the carrier corrects the conditions leading to suspension and that the carrier may contest the suspension by requesting an adjudication or brief adjudicative proceeding.
(e) Orders vacating suspension of permit if the commission receives the carrier's insurance filing during the suspension period and orders of abeyance if the carrier requests an adjudication or brief adjudicative proceeding.
(f) Orders canceling previously suspended permit authority if the carrier fails to correct conditions leading to suspension, and fails to request a hearing or brief adjudicative proceeding, during the suspension period.
(g) Orders reinstating a permit canceled for cause if the conditions for reinstatement in chapter 480-70 WAC and in the order of cancellation are met.
(h) Orders dismissing application or canceling permit authority by request of applicant or carrier.
(4) Solid waste collection companies--Traditional, chapters 81.77 RCW and 480-70 WAC.
(a) Orders and permits authorizing intrastate solid waste collection services involving unprotested applications in territory not served by an existing carrier.
(b) Orders and permits authorizing change of carrier's name, trade name or addition of a trade name.
(5) Private, nonprofit transportation providers, chapter 480-31 WAC.
(a) Orders and permits authorizing intrastate transportation of persons with special needs.
(b) Orders and permits authorizing sale, assignment, lease, acquisition or transfer.
(c) Orders suspending a permit if the carrier fails to maintain evidence on file that it has the required level of insurance in effect for its operations. The order must inform the carrier that the permit may be reinstated if the carrier corrects the conditions leading to suspension and that the carrier may contest the suspension by requesting a hearing or brief adjudicative proceeding.
(d) Orders vacating suspension of a permit if the commission receives an insurance filing during the suspension period and orders of abeyance if the carrier requests a hearing or brief adjudicative proceeding.
(6) Charter and excursion busses.
(a) Orders authorizing intrastate transportation of passengers by charter or excursion.
(b) Orders suspending permit if the carrier fails to show that it has the required level of insurance in effect for its operations. The order will inform the carrier that the permit may be reinstated if the carrier corrects the conditions leading to suspension and that the carrier may contest the suspension by requesting a hearing or brief adjudicative proceeding.
(c) Orders vacating suspension of permit if the commission receives an insurance filing during the suspension period or orders of abeyance if the carrier requests a hearing or brief adjudicative proceeding.
(d) Orders canceling previously suspended permit authority if the carrier fails to correct conditions leading to suspension and fails to request a hearing or brief adjudicative proceeding during the suspension period.
(e) Orders canceling permit authority or dismissing an application by request of the carrier or applicant.
(f) Orders dismissing application after due notice to applicant for failure to meet the requirements of chapter 480-40 WAC.
(g) Orders authorizing lease, assignment, or transfer of permit authority.
(7) Auto transportation companies, chapter 81.68 RCW.
(a) Orders and permits authorizing intrastate, intercity transportation of passengers involving unprotested applications to serve routes not served by any existing carrier and that do not fall within the boundaries of a transit district.
(b) Orders and permits involving name changes, including trade names.
(8) Commercial ferries, chapter 480-51 WAC.
(a) Orders suspending a certificate if the carrier fails to maintain the required insurance coverage. The order will inform the carrier that the certificate may be reinstated if the carrier corrects the conditions leading to suspension and that the carrier may contest suspension by requesting a brief adjudication or an adjudication.
(b) Orders vacating suspension of a certificate if the carrier corrects conditions leading to suspension and orders of abeyance if the respondent requests a brief adjudication or an adjudication.
(c) Orders canceling a previously suspended certificate if the carrier fails to correct conditions leading to suspension and fails to timely request an adjudication or brief adjudication.
(9) Temporary transportation authority. The commission delegates to the executive secretary decisions in applications for temporary motor carrier or solid waste authority. The decision takes effect immediately on entry of an order without prior notice of delegation. An applicant whose application is denied, in whole or in part, may obtain review by requesting an adjudication within twenty days following entry of the order. Commission review of delegated decisions under this provision will be de novo.

[Statutory Authority: 2006 c 346, RCW 80.01.040 and 80.04.160. 06-17-126 (Docket A-060357, General Order No. R-538), � 480-07-905, filed 8/21/06, effective 9/21/06.]

WAC 480-07-910 Informal complaints. (1) How to make an informal complaint. Any person may make an informal complaint to the commission about any business that the commission regulates. A person may make an informal complaint by telephone, correspondence, fax transmission, e-mail, or by using the complaint form available on the commission's web site.

Contents.

Commission response; result.

Uniform Mediation Act not applicable.

Filing of formal complaint regarding subject of informal complaint.

WAC 480-07-920 Interpretive and policy statements. (1) General. Upon the petition of any person, or upon its own motion, the commission may make and issue interpretive and policy statements to advise the public of its current opinions, approaches, and likely courses of action.
(2) Roster of interested persons. The commission will maintain a roster of interested persons, consisting of persons who have requested in writing to be notified of all interpretive and policy statements issued by the commission. The commission will periodically update the roster. When the commission issues an interpretive or policy statement, it will send a copy of the statement to each person on the roster.
(3) Index of current statements. The commission maintains a file and an index of all currently effective interpretive and policy statements. The statements are available for inspection and copying at the records center in the commission's Olympia headquarters office and are posted on the commission's Internet website.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-920, filed 11/24/03, effective 1/1/04.]

WAC (10/18/06 10:26 AM) [ ]
WAC 480-07-930 Declaratory orders under RCW 34.05.240. (1) Petition. Any interested person may petition the commission for a declaratory order with respect to the applicability to specified circumstances of a rule, order, or statute enforceable by the commission, as provided by RCW 34.05.240.
(a) Format. Petitions for declaratory orders under RCW 34.05.240 must conform in style and substance to the requirements for other forms of adjudicative pleading as specified in Part III, subpart A of this chapter.
(b) Relationship with adjudications. The commission will dismiss a petition for declaratory order when issues in the petition are at issue in a pending adjudication. The commission will reject a single pleading that seeks a declaratory order or, in the alternative, an adjudicative order. The filing party must choose which process it deems appropriate.
(2) Notice. The commission will give notice of any petition for declaratory order within fifteen days after the commission receives the petition. The notice will be served on all persons who are required by law to be given notice and on any other person to whom the commission deems notice to be desirable.
(3) Response. Any person may respond to a petition for declaratory order by filing an answer within twenty days after the petition is filed or at such other time as the commission may establish by notice. The commission will not enter a declaratory order under RCW 34.05.240 if any person asserts in response to a petition for declaratory order filed pursuant to RCW 34.05.240 that their rights might be substantially prejudiced by entry of a declaratory order, supports such assertion by sworn affidavit demonstrating the potential for substantial prejudice, and does not consent in writing to the determination of the matter by a declaratory order proceeding under RCW 34.05.240.
(4) Conversion of proceeding. The commission may convert the form of a declaratory order proceeding as provided under RCW 34.05.070 and conduct the matter as an adjudicative proceeding under Part III, subpart A of this chapter.
(5) Commission action on petition. Within thirty days after it receives a petition for declaratory order, the commission will:
(a) Enter a declaratory order;
(b) Notify the petitioner that the commission will not enter a declaratory order under RCW 34.05.240, and state reasons for its action;
(c) Set a specified time, no later than ninety days after the day the petition was filed, by which the commission will enter a declaratory order; or
(d) Set a reasonable time and place for a hearing. If a hearing is held on a petition for declaratory order under RCW 34.05.240, it must be held no more than ninety days after receipt of the petition. If a hearing is held, the commission will give at least seven days' notice to the petitioner, to all persons to whom notice is required by law, and to any other person it deems desirable. The notice will include the time, place, and a statement of the issues involved.
(6) Extension of time. The commission may for good cause extend the times specified in subsection (5)(c) and (d) of this section.
(7) Commission action after hearing. If a hearing is held as provided in subsection (5)(d) of this section, the commission will within a reasonable time:
(a) Enter a declaratory order; or
(b) Notify the petitioner that the commission will not enter a declaratory order and state the reasons for its action.
(8) Service. The commission will serve its order or notice upon all persons who are required to receive notice under subsection (2) of this section.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 06-16-053 (Docket A-050802, General Order R-536), � 480-07-930, filed 7/27/06, effective 8/27/06; 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-930, filed 11/24/03, effective 1/1/04.]

WAC 480-07-940 Conversion of proceedings. The commission will consider whether to convert a proceeding pursuant to RCW 34.05.070 upon application by any person or upon its own motion.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-940, filed 11/24/03, effective 1/1/04.]

WAC 480-07-950 Joint hearings with other administrative bodies. (1) Federal. The rules of practice and procedure of the federal agency govern in any proceeding in which the commission participates jointly with a federal agency.
(2) State. The rules of the state in which the hearing is held govern in any proceeding in which the commission participates jointly with the administrative body of another state or states, unless otherwise agreed by the participating agencies.
(3) Who may appear. Any person entitled to appear in a representative capacity before any of the agencies involved in a joint hearing may appear in the joint hearing.

[Statutory Authority: RCW 80.01.040 and 80.04.160. 03-24-028 (General Order R-510, Docket No. A-010648), � 480-07-950, filed 11/24/03, effective 1/1/04.]


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