Title 480 WAC — Utilities and Transportation Commission

Chapter 480-04 Public access to information and records.

Wash. Admin. Code § 480-04-005 Authority and purpose.

The Public Records Act, chapter 42.56 RCW, requires state agencies to make available for inspection and copying nonexempt public records in accordance with published rules. The sections in this chapter establish the procedures the Washington utilities and transportation commission will follow to provide full access to public records.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-005, filed 9/19/18, effective 10/20/18.

Wash. Admin. Code § 480-04-020 Definitions.

(1) "Identifiable public record" is a public record that exists at the time the commission receives the request for public records and that commission staff can reasonably locate.

(2) "Public record" includes any writing containing information relating to the conduct of government or the performance of any governmental or proprietary function prepared, owned, used, or retained by the commission regardless of physical form or characteristics.

(3) "Public records officer" means the official responsible for the commission's compliance with the Public Records Act, chapter 42.56 RCW, and for the implementation of this chapter. The commission's secretary is designated as its public records officer. The secretary may designate one or more persons to assist in the implementation and application of this chapter, and "public records officer" as used in this chapter includes such persons.

(4) "Secretary," also referred to as "executive secretary," means the secretary of the commission appointed pursuant to RCW 80.01.030. Unless otherwise restricted, the term "secretary" also refers to the acting secretary and to the secretary's designee.

(5) "Washington utilities and transportation commission," also referred to in this chapter as "the commission," is the agency established in Titles 80 and 81 RCW to regulate the rates, services, facilities, and practices of persons engaging in this state in the business of supplying any utility service or commodity, or of the transportation of persons or property, to the public for compensation. Where appropriate, the term "commission" also refers to the staff and employees of the Washington utilities and transportation commission.

(6) "Writing" is any means of recording any form of communication or representation as provided in RCW 42.56.010(4).

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-020, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-020, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-020, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-020, filed 3/5/92, effective 4/5/92
Order R-43, § 480-04-020, filed 4/5/73.

Wash. Admin. Code § 480-04-035 Contact information.

Any person may obtain information about the commission or request access to its public records by contacting the commission using the contact information provided in WAC 480-07-125. That information is current at the time of rule adoption but may change. Current information and additional contact information are available on the commission's website, in person at the commission's offices, or by calling the commission's main public telephone number.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-035, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-035, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-04-050 Public information available without making a request for public records.

Many of the commission's public records are publicly accessible on the commission's website. Such documents include, but are not limited to, commission orders and notices, party filings in commission adjudications, regulated company filings, and documents containing general information about the commission, the industries and companies the commission regulates, and consumer assistance. Persons seeking commission documents should view the documents available on the commission's website prior to submitting a public records request. Persons who need help finding such information may contact the commission's records center by calling the commission's general telephone number or sending an email to records@utc.wa.gov.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-050, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-050, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-050, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-050, filed 3/5/92, effective 4/5/92
Order R-43, § 480-04-050, filed 4/5/73.

Wash. Admin. Code § 480-04-060 Public records available; hours for inspection and copying.

(1) All of the commission's public records are available for inspection and copying unless the public record is exempt from disclosure under chapter 42.56 RCW (the Public Records Act) or protected from disclosure under RCW 80.04.095 or 81.77.210 (records that contain valuable commercial information), WAC 480-07-160 (Confidential information), a protective order the commission enters pursuant to WAC 480-07-420 (Discovery—Protective orders), or other provision of law. Except as provided in RCW 42.56.070(8), the commission will not give, sell, or provide access to lists of individuals if the information is requested for commercial purposes.

(2) The commission will promptly respond to requests for inspection and copying of public records as provided in this chapter.

(3) Public records are available for inspection and copying during the commission's customary office hours specified in WAC 480-07-120.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-060, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-060, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-060, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-060, filed 3/5/92, effective 4/5/92. Order R-43, § 480-04-060, filed 4/5/73.

Wash. Admin. Code § 480-04-065 Index of significant decisions.

(1) Content. The commission will maintain and make available to the public an index of the following:

(a) Final orders the commission has entered after June 30, 1990, in adjudicative proceedings that contain an analysis or decision of substantial importance to the agency in carrying out its duties;

(b) Declaratory orders the commission has entered after June 30, 1990, that contain an analysis or decision of substantial importance to the agency in carrying out its duties; and

(2) Availability. The commission will publish the index by the means it deems best suited to achieve broad availability, consistent with staff resources and technology. The documents contained in the index will also be included in the searchable document library on the commission's public website.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-065, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-065, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-065, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-065, filed 3/5/92 effective 4/5/92.

Wash. Admin. Code § 480-04-090 Requests for public records.

(1) Definition. Except for requests for assistance to review or obtain documents on the commission's website, any request for identifiable public records is a request for public records to which the commission must respond in compliance with the Public Records Act. Requests for public records do not include:

(a) Requests for general information about a subject or company that the commission regulates;

(b) Standing or ongoing requests for records that do not exist at the time the commission receives the request;

(c) Requests that the commission create a new document that compiles, organizes, collates, analyzes, summarizes, or is otherwise derived from existing commission records; or

(d) Requests for all or substantially all records prepared, owned, used, or retained by the commission.

(2) Form of request.

(a) Public records request form. Any person making a request for public records should complete the commission's Online Records Request Form. Persons can access this form on the commission's website and may contact the records center for assistance.

(b) Other writing. A person who is unable or elects not to use the commission's Online Records Request Form may submit a letter or email to the records center. Such a request should contain the information listed in subsection (3) of this section.

(c) Telephone or in-person requests. The commission will honor requests for public records made in person or by telephone to the public records officer during the commission's customary business hours. Any such request should include the information listed in subsection (3) of this section. The public records officer will subsequently confirm receipt of this information and the substance of the request in a written communication to the requester.

(3) Needed information. Any request for public records should include the following information that the commission needs to respond to the request:

(a) The requester's name, physical address, email address, and telephone number;

(b) The date on which the requester submits the request;

(c) The identity of any individual, business, or other organization for whom the requester is making the request, if not only for the requester personally;

(d) A clear statement that the requester is requesting public records;

(e) An election of whether the requester wants to inspect the public records, obtain copies, or both;

(f) A clear description of the identifiable public records the requester is requesting; and

(g) A statement of whether the requester is requesting a list of individuals to be used for any commercial purposes.

(4) Requester's failure or refusal to provide information. The public records officer will identify any information the commission needs that a requester has not included in a request for public records and will work with the requester to provide that information. If a requester refuses to provide his or her identity or sufficient other information, the commission will respond to the request to the extent feasible and consistent with applicable law.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-090, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-090, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-090, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-090, filed 3/5/92, effective 4/5/92
Order R-43, § 480-04-090, filed 4/5/73.

Wash. Admin. Code § 480-04-095 Responding to requests for public records.

The commission will provide the fullest assistance to requesters and the most timely possible action in response to requests for public records consistent with the intent of the Public Records Act to provide full public access to public records, to protect public records from damage or disorganization, and to prevent excessive interference with other essential commission functions.

(1) Tracking. Upon receiving a request for public records, the public records officer will assign it a tracking number and log it into the commission's public records request tracking system.

(2) Task assignment. Unless the request clearly seeks only documents that are contained in the commission's records center, the public records officer will assign the request as a task to commission management personnel:

(a) To assess whether the request is sufficiently clear in identifying the records the requester seeks;

(b) To determine whether the commission has or may have documents that are responsive to the request;

(d) To provide any responsive documents to the public records officer for processing.

(3) Initial response. Within five business days of receiving a request for public records, the public records officer will take one or more of the following actions:

(a) Inform the requester that the commission has no public records that are responsive to the request;

(b) Make the requested records available to the requester for inspection and copying, either via a link to the document(s) on the commission's website, or by providing a paper or electronic copy of the document(s);

(c) Acknowledge receipt of the request and provide the requester with a reasonable estimate of the date by which the commission will make the records, or an installment of the records, available for inspection and copying;

(d) Acknowledge receipt of the request, ask the requester to clarify any portion of the request that is unclear, and to the extent possible, provide a reasonable estimate of when the commission will make the requested records, or an installment of the records, available for inspection and copying if the request is not clarified; or

(e) Deny the request. If the public records officer denies the public records request in whole or in part, the public records officer will provide the requester with a written explanation of the basis for the denial. The requester may contest the denial by requesting commission review as provided in WAC 480-04-120.

(4) Additional time to respond. The commission may extend an estimated date by which it will make the requested records, or an installment of the records, available for inspection and copying based on the need to clarify the request, to locate and assemble the records requested, to notify third persons or agencies affected by the request, or to determine whether any of the records are exempt or otherwise protected from public disclosure, or for other good cause. The public records officer will promptly notify the requester in writing of any revised estimate and will explain the reason for the revised estimate.

(5) Exempt or protected information. The public records officer will review the requested records to determine whether any record, in whole or in part, includes information that is exempt from disclosure under the Public Records Act, chapter 42.56 RCW, or protected from disclosure under RCW 80.04.095 or 81.77.210 (records that contain valuable commercial information), WAC 480-07-160 (Confidential and other restricted information), a protective order the commission enters pursuant to WAC 480-07-420 (Discovery—Protective orders), or another provision of law.

(a) Exempt information. The commission will redact from the public records it makes available for inspection and copying any information that is exempt from disclosure under the Public Records Act or any other applicable law. The public records officer will provide the requester with a withholding log that identifies the specific exemption applicable to each redaction and briefly explains how the exemption applies. Except as otherwise provided in this section, the public records officer will make available for inspection and copying all records and portions of records that are not exempt from public disclosure.

(b) Information designated as confidential. The following process will apply if the requester requests a public record that contains information that has been designated as confidential under RCW 80.04.095, 81.77.210, or WAC 480-07-160.

(i) The public records officer will inform the requester that information in one or more public records that are responsive to the request has been designated as confidential, will offer to provide a version of the document from which that information has been redacted, and will ask if the requester wants the confidential information.

(ii) If the requester informs the public records officer that the request necessarily includes information designated as confidential, the commission will follow the procedure in RCW 80.04.095 or 81.77.210, whichever is applicable, as set forth below.

(A) The public records officer will send a written notice of the request to the provider of the confidential information, as well as to any other person who has been identified as being directly affected by any public disclosure of the information, and will send a copy of the notice to the requester. The commission will send the notice electronically and, to the extent practicable, will confirm that the provider received that notice. The notice will state that the commission will disclose the requested confidential information to the requester unless within ten days after the date of the notice, the provider obtains a court order prohibiting that disclosure. The commission will issue that notice not more than two business days after receiving confirmation that the requester wants the confidential information.

(B) If the provider of the confidential information has not obtained a court order prohibiting its disclosure within ten days from the date of the commission's notice or the commission has not received notification from the requester withdrawing the request or stating that the commission can satisfy the request without disclosing confidential information, the public records officer will make the entirety of the public records that are responsive to the request available for inspection and copying, including all information that had been designated as confidential, as provided in subsection (6) of this section. The public records officer will also remove the confidential designations from the records, and the commission will maintain those records as publicly available in their entirety.

(c) Information subject to protective order. The following process will apply if a requester requests a public record that contains information that is protected from public disclosure pursuant to a protective order the commission enters.

(i) The public records officer will inform the requester that information in one or more public records that are responsive to the request is protected from disclosure pursuant to a protective order and will ask whether the requester wants the protected information. If the requester agrees that the commission can satisfy the request without disclosing that information, the public records officer will provide or make available for inspection the public records that are responsive to the request and from which the information protected by the protective order has been redacted.

(ii) If the requester informs the public records officer that the request necessarily includes information that is protected by a protective order, the commission will follow one of the following processes:

(A) If the adjudication in which the commission entered the protective order has concluded, the procedure in (b)(ii) of this subsection will apply.

(B) If the adjudication has not concluded, the public records officer will notify the presiding officer in the adjudication of the request. The presiding officer will establish by notice or order the process the commission will use to receive written or oral comments or argument on the request from the requester and the parties and will enter an order determining whether the commission will make any information subject to the protective order available for inspection and copying.

(d) Information affecting rights of others. If the requested records contain information that may affect rights of others and may be exempt from disclosure, the public records officer may notify those persons of the request prior to making the records available for inspection and copying. If the public records officer elects to provide such notice, the process in (b)(ii) of this subsection shall apply.

(6) Providing responsive records.

(a) Inspection. Consistent with other demands on the agency's resources, the commission will promptly provide space for requesters to inspect the public records they have requested.

(b) Copies. Upon request, the commission will provide copies of responsive documents to the requester, subject to the requester paying any copying charges the commission assesses as provided in WAC 480-04-100. The commission will provide copies of documents in the same form in which the agency retains the record (i.e., the commission will provide paper copies of paper records and electronic copies of electronic records in the same format or program). The public records officer may, but is not required to, provide copies of records in a different form or format (e.g., making .pdf electronic copies of paper records) if such copying is technically feasible using existing commission resources and does not result in the creation of a new public record.

(7) Time to inspect or claim records. The public records officer will notify the requester in writing when the requested public records are available for inspection and copying and that the requester should make arrangements to inspect or claim any requested copies of those records. The requester must inspect the records or claim any copies within thirty days of the commission's notice. If the requester does not do so or does not make other arrangements within that thirty days, the commission may close the request.

(8) Providing records in installments. If a requester requests a large number of records, the public records officer may provide access to responsive records in installments. The public records officer will notify the requester in writing when each installment of the requested records is available for inspection and copying and that the requester should make arrangements to inspect or claim any requested copies of those records. The requester must inspect the records or claim any copies in each installment within thirty days of the commission's notice. If the requester does not do so or does not make other arrangements within that thirty days, the commission may stop searching for the remaining records and close the request.

(9) Closing request. The public records officer will close the request and notify the requester in writing of that closure under any one of the following circumstances:

(a) The commission has completed a reasonable search for the requested public records, and either:

(i) The commission has located no responsive documents; or

(ii) The commission has located responsive documents, the requester has inspected those records, and the commission has provided any requested copies of the records.

(b) The requester withdraws the request;

(c) The requester does not clarify an entirely unclear request within thirty days from the date of the public records officer's written request for clarification;

(d) The requester does not timely inspect or make arrangements to inspect or request copies of responsive records as provided in this section; or

(e) The requester does not timely submit any deposit, pay fees for an installment, or make a final payment the commission has assessed for requested copies of public records as required under WAC 480-04-100.

(10) Subsequently discovered records. The public records officer will promptly inform the requester if, after the commission has notified the requester that the commission has provided all available records, the commission becomes aware of additional responsive documents that existed at the time the requester made the request. The commission will make the additional documents available for inspection and copying on an expedited basis.

(11) Log of requests. The commission will maintain a log of the public records requests it receives, which will include:

(a) The identity of the requester if provided by the requester;

(b) The date the commission received the request;

(d) A description of the responsive records that were redacted or withheld and the reasons therefor; and

(e) The date of the final disposition of the request.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-095, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-095, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-095, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-095, filed 3/5/92, effective 4/5/92.

Wash. Admin. Code § 480-04-100 Copying charges.

The commission will charge to provide copies of public records as provided in this section.

(1) Adoption of statutory copying charges. The commission has not calculated the actual costs for copying its records because to do so would be unduly burdensome for the following reasons:

(a) The commission has insufficient resources to conduct a comprehensive study to determine the actual costs of copying its records;

(b) To conduct a study of the commission's actual copying costs would interfere with other essential agency functions; and

(c) The legislature has established reasonable fees and costs in RCW 42.56.120 after the public and requesters have commented on, and been informed of, such fees and costs.

To timely implement a fee schedule consistent with the Public Records Act, it is more cost efficient and expeditious and in the public interest for the commission to adopt the legislature's approved fees and costs for most of the commission's records, as authorized in RCW 42.56.120 and as published in the commission's fee schedule.

(2) Fee schedule. Persons may obtain the schedule of the commission's copying charges by contacting the commission's records center. The commission does not charge sales tax on copies it makes at its own facilities.

(3) Cost estimates. Upon request, the commission will provide a requester with a summary of the applicable charges before the commission makes copies of the requested records. The requester may revise the request to reduce the requested number of copies and correspondingly reduce the copying charges.

(4) Deposits and prepayment. Before beginning to make copies, the public records officer may require a requester to pay a deposit of up to ten percent of the estimated costs of copying all the requested records. The public records officer may also require the requester to pay the remainder of the copying costs before providing all the records, or to pay the costs of copying an installment before providing that installment.

(5) Waiver or other fee arrangements. The commission may waive copying charges. The commission also may enter into a contract, memorandum of understanding, or other agreement with a requester that provides an alternative fee arrangement to the charges or in response to voluminous or frequently occurring requests.

(6) Mailing and delivery costs. The commission may charge the actual costs it incurs to mail or use a commercial carrier to deliver copies of the requested public records, including the cost of any digital storage medium or device on which the commission copies the records (such as a disc or flash drive), the shipping container or envelope, and the postage or delivery charge.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-100, filed 9/19/18, effective 10/20/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 06-17-087 (Docket A-060475, General Order No. R-537), § 480-04-100, filed 8/14/06, effective 9/14/06. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-100, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-100, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 91-07-025 (Order R-340, Docket No. A-900424), § 480-04-100, filed 3/14/91, effective 4/14/91. Statutory Authority: RCW 80.01.040 (1) and (4). WSR 81-06-061 (Order R-157, Cause No. TV-1429), § 480-04-100, filed 3/4/81. Statutory Authority: RCW 42.17.300. WSR 78-02-020 (Order R-112), § 480-04-100, filed 1/11/78
Order R-43, § 480-04-100, filed 4/5/73.

Wash. Admin. Code § 480-04-120 Review of denials of public records requests.

(1) If the commission denies a request for a public record and the requester disagrees with the denial, the requester may ask the public records officer, in writing, for a review of the denial. The written request for review must describe or enclose the public records officer's written statement that explains the reasons for the denial.

(2) The requester may hand deliver, or have a courier deliver, the written request for review in person at the commission's administrative office or the requester may send it by mail or email.

(3) The commission will promptly consider the written request for review. The public records officer's denial becomes final unless the commission modifies the decision within two business days after the commission receives the request for review unless the requester and the commission agree to a longer commission review period. The commission, however, may modify a denial decision at a later time. Once the public records officer's initial denial decision becomes final, the requester may seek judicial review under RCW 42.56.550, or the requester may request that the Washington attorney general review any claims of exemptions pursuant to RCW 42.56.530.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-120, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-120, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-120, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-120, filed 3/5/92, effective 4/5/92
Order R-43, § 480-04-120, filed 4/5/73.

Wash. Admin. Code § 480-04-130 Protection of public records.

(1) Only commission staff may copy public documents unless the public records officer decides that copying by others will not disrupt commission business operations or pose any risk to the integrity and safety of the documents.

(2) No person may take any public record from the area the public records officer designates for public inspection of public records unless expressly authorized to do so by the public records officer. No person may disassemble or alter any document the commission allows that person to inspect.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-007 (Docket A-180513, General Order R-594), § 480-04-130, filed 9/19/18, effective 10/20/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-04-130, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-04-130, filed 12/29/97, effective 1/29/98. Statutory Authority: RCW 80.01.040. WSR 92-07-006 (Order R-368, Docket No. A-910530), § 480-04-130, filed 3/5/92, effective 4/5/92
Order R-43, § 480-04-130, filed 4/5/73.

Chapter 480-07 Procedural rules.

Wash. Admin. Code § 480-07-010 Scope of this chapter.

This chapter includes rules that explain how to conduct business with the Washington utilities and transportation commission (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, penalty assessments, and informal complaints.

These rules are authorized by and supplement the Administrative Procedure Act, chapter 34.05 RCW, and the statutes that define the commission's authority and responsibilities found principally in Titles 80 and 81 RCW. The commission's procedural rules should be interpreted in conjunction with these statutes.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-010, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-010, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-100, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-100, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-110 Exemptions from and modifications to commission rules; conflicts with other rules.

(1) Exceptions and modifications. The commission, in response to a request or on its own initiative, may grant an exemption from, or modify the application of, any of its rules in individual circumstances if the exemption or modification is consistent with the public interest, the purposes underlying regulation, and applicable statutes. Consistent with due process and the public interest, the commission may modify the application of procedural rules in this chapter on its own initiative during a particular adjudication or other docket without following the process identified in subsection (2) of this section.

(2) Process.

(a) How to request an exemption from, or modification to, a rule. To request a rule exemption or modification, a person must file with the commission a written petition identifying the rule for which the person seeks an exemption and providing a full explanation of the reason for requesting the exemption. Telecommunications companies, gas companies, or electric companies filing petitions for exemption under this section must provide an electronic copy of the request to the public counsel unit of the attorney general's office by email on the same day the request is filed with the commission.

(b) Commission process. The commission will assign the petition a docket number if the request does not arise in an existing docket, and will schedule the petition for consideration at one of the commission's regularly scheduled open meetings or in an adjudicative proceeding if appropriate under chapter 34.05 RCW. The commission will notify the person requesting the exemption and other interested persons of the date of the open meeting or hearing when the commission will consider the petition.

(c) Standard for determination. The commission uses the public interest standard to determine whether to grant an exemption from, or modification to, a commission rule. Factors the commission may consider in making this determination include whether the rule imposes an undue hardship on the requesting person of a degree or a kind different from hardships imposed on other similarly situated persons, and whether the effect of applying the rule to the requesting person would be contrary to the underlying purposes of the rule and the public interest.

(3) Conflicts with other rules. Statutes or other commission rules may establish a process for requesting rule exemption or modification, and if they conflict with this rule, those statutes or other rules govern the request.

(4) Emergency situations. In the event of a state of emergency and for good cause shown, the commission may enter an order on its own motion, or upon the motion of any person or public service company affected by the rule, exempting public service companies, the commission, and all affected persons from complying with the requirements of specific rules in this title.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-110, filed 2/28/17, effective 3/31/17
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-110, filed 8/22/08, effective 9/22/08
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-110, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-110, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-120 Office hours.

The commission's 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-120, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-120, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-125 Commission contact information.

The information included in this section is current at the time of rule adoption but may change. Persons may obtain current and additional contact information for the commission and its personnel by accessing the commission's internet website or by requesting the information in person at the commission offices, by a telephone call to the commission's main public number, or through an email to the commission's records center.

| 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 | 360-664-1234 | | Consumer inquiries, comments and informal complaints | 1-800-562-6150 | | Conference bridge for participating in proceedings by telephone | 360-664-3846 | | Web portal | www.utc.wa.gov/e-filing | | Records center email | records@utc.wa.gov | | Internet website | www.utc.wa.gov |

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-125, filed 2/28/17, effective 3/31/17
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-125, filed 8/22/08, effective 9/22/08
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-125, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-125, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-130 Time periods specified for acts governed by this chapter.

(1) Definitions.

(a) "Day" means calendar day whenever used in this chapter, unless otherwise specified.

(b) "Business day" as used in this chapter, means any day when the commission's offices are open to the public as provided in WAC 480-07-120.

(2) Computation of time. 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 not a business day, in which circumstance the period runs until the end of the next business day.

(3) 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 governs continuances or extensions of time in adjudicative proceedings.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-130, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-130, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-140 General requirements for submitting documents to the commission.

(1) General.

(a) Informal submissions. Informal submissions are oral or written comments or communications directed to the commission that do not seek, or respond to, formal commission action, are not required by statute or commission rule, and generally are not filed in a docket. Informal submissions include, but are not limited to, consumer complaints other than complaints requesting commencement of an adjudicative proceeding, and public comments made on matters the commission considers at an open public meeting or in an adjudication when submitted by persons who are not, and do not seek to be, parties to that adjudication. A person may make informal submissions by using the comment form available on the commission's website or by contacting the commission records center or consumer protection section by telephone, letter, or email at the contact information listed in WAC 480-07-125.

(b) Formal filings. Formal filings are written submissions that seek or respond to formal commission action or are required by statute or commission rule and that the commission may file in a docket. Unless otherwise provided in this chapter, all documents submitted to the commission for formal filing, including documents that contain confidential information, must be submitted electronically to the commission records center in conformance with this rule. The commission will not accept a document for formal filing unless the commission receives that document in electronic form.

(2) Where to send written communications. Persons should send written communications to the commission using the contact information contained in WAC 480-07-125 or on the commission's website. Correspondence directed to the commission should be addressed to the commission secretary.

(3) Cover letters. Persons submitting documents to the commission for formal filing must include a cover letter with the submission unless the sole document submitted is a letter or the document is one page in length and includes the information identified in subsection (4) of this section.

(4) Requirements. The following requirements enable the commission to identify submissions and to facilitate prompt delivery of communications to commission personnel.

(a) Identification of sender. All persons who communicate with the commission should provide their full name, mailing address, telephone number, and email 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 they are sending the communication. All submissions on behalf of a company the commission regulates must identify the company using the exact name of the company in the commission's records. The commission's website includes a list of all such companies by the names in the commission's records. The commission may reject or require resubmission of any submission that does not comply with this requirement.

(b) Identification of permit, license, or certificate. Any person or entity holding 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.

(d) Identification of documents. All documents submitted to the commission must be named in conformance with subsection (6)(b) of this section.

(5) Electronic submission of documents. The commission accepts only electronic versions of documents for formal filing. Unless required in a specific rule or order, the commission does not require a paper copy of the document.

(a) Electronic submission via web portal. Documents submitted electronically must be submitted using the commission's records center web portal except as provided in this rule.

(i) How to use the web portal. To use the web portal to submit documents for filing, persons should navigate to, and follow the instructions on, the web portal at the address specified in WAC 480-07-125.

(ii) Official commission receipt. The commission officially receives a document submitted through the web portal on the date and at the time registered by the portal; provided that documents the commission receives after 5:00 p.m. are not considered officially received or filed until the next business day. The web portal will send an automated notification to the person submitting the document when the commission has received the document.

(iii) Insufficient capacity. If a submission exceeds the size limitations of the commission's web portal for a single submission, the person may submit the documents in multiple web portal submissions, via one or more emails as provided in subsection (6)(c) of this section, or on a disc or other commonly used electronic storage medium delivered by mail or hand delivery. The commission includes on its website the current size limitation of submissions on the web portal and instructions for making multiple web portal submissions.

(b) Electronic submission via email. If a person is unable to use the web portal to submit documents for filing, the commission will accept a submission via email. The commission may also accept correspondence or comments directed to the commission in the form of an email. An email transmitting documents must explain the reason the documents are not being submitted via the web portal and must comply with the following requirements:

(i) Where to send electronic documents. Emails and emailed submissions for filing must be directed to the commission's records center at the email address specified in WAC 480-07-125. Courtesy or informational copies may be sent to other email addresses for individual commission personnel. The commission will receive for filing only email submissions sent to the records center.

(ii) When deemed received. An email and any transmitted documents are deemed received only when the email and the entire document or set of documents successfully reach the commission's records center electronic mailbox. Emails or documents wholly or partly received by email in the commission's records center after 5:00 p.m. are not considered officially received or filed until the next business day.

(iii) Insufficient capacity. If a submission exceeds the size limitations of the commission's email system for a single message, the person may submit the documents in multiple messages as provided in subsection (6)(c) of this section or on a disc or other commonly used electronic storage medium delivered via mail or hand delivery. The commission includes on its website the current size limitation of a single email.

(c) Electronic submission by mail or hand delivery. A person may submit for filing electronic copies of documents on a disc or other commonly used electronic storage medium by mail or hand delivery (e.g., courier delivery service) to the commission's business address. The commission deems it has received an electronic document submitted by mail or hand delivery when the commission's records center physically receives it. Documents delivered to the commission's records center after 5:00 p.m. are not considered officially received or filed until the next business day.

(d) Additional requirements. The following additional requirements apply when submitting documents in the circumstances identified below.

| Submissions in these dockets or types of documents: | Must comply with these rules and: | | --- | --- | | Rule-making dockets | Part II of this chapter | | Adjudicative dockets | Part III of this chapter, plus any requirements in the specific adjudication | | Utility tariffs and contracts | Chapter 480-80 WAC and WAC 480-07-141 | | Transportation tariffs and time schedules | WAC 480-07-141; and | | (a) For auto transportation companies | (a) Chapter 480-30 WAC; | | (b) For commercial ferry companies | (b) Chapters 480-51 and 480-149 WAC; | | (c) For solid waste collection companies | (c) Chapter 480-70 WAC | | (d) For marine pilotage services | (d) Chapter 480-160 WAC | | For public records requests | Chapters 42.56 RCW and 480-04 WAC |

(6) Electronic file format requirements. Electronic versions of all documents filed with the commission must conform to the following file format requirements.

(a) Acceptable format.

(i) All documents other than spreadsheets as described in (a)(ii) of this subsection and email correspondence or comments must be filed in searchable .pdf (adobe acrobat or comparable software) format and to the extent feasible should be saved or otherwise converted directly from the native format in which the document was created. Parties that cannot create .pdf files directly from the document in its native format must provide a copy of the document converted to .pdf via scanning or other available technology. Scanned documents must be searchable unless readily available software does not support searchable scanned documents.

(ii) Any document in the form of a spreadsheet that displays results of calculations based on formulas must be filed in its native Excel format (.xlsx) or the updated version of, or successor to, that software program. The commission will accept spreadsheets created using a different software program only if the commission has a license to use that program and personnel who know how to use it. Spreadsheets must include all formulas and may not include locked, password protected, or hidden cells or tabs, or any other restrictions that impair or hamper the commission's ability to review or modify the data in those cells.

(iii) Correspondence or comments in the form of an email must conform to generally accepted conventions for email communications.

(b) File naming conventions. Documents must be named in a way that describes the contents. Each document a person submits must be labeled with the docket number of the proceeding (except in the case of original submissions), any confidentiality designation, the name of the document, the name of the person or party on whose behalf the document is submitted, the last name of any witness sponsoring the document, and the date the document is submitted. The prefix to the docket number (e.g., UE-, TG-, etc.) may be omitted, and words may be abbreviated as necessary in the file name of an electronic document if the full name is too long. The cover letter accompanying the submission must list all of the documents included in the submission using the same identifying information. The commission maintains a sample list of acceptable file names and abbreviations on its website.

(c) Acceptable organization. Except as provided in WAC 480-07-160 when submitting documents that include information designated as confidential, highly confidential, or exempt, all files required to meet a single deadline must be submitted at the same time and in the same message, if possible, or on the same disc or commonly used electronic storage medium. A person may submit files in more than one submission or message when submitting those files via the commission's web portal or via email as authorized in subsection (5)(a)(iii) and (b)(iii) of this section if the total size of the submission exceeds the size constraints of the commission's web portal or email system for a single submission. If the documents are submitted in multiple email messages, each email message must prominently identify which one it is in the sequence of messages and, to the extent possible, the total number of messages used (e.g., "Message 2 of 4"). The first and final messages in the sequence must be identified as such. The first message also must explain the reason for the multiple messages and must include the cover letter and any required certificate of service. All such messages must be submitted as close to simultaneously as practicable.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.116.020, and 81.116.900. WSR 19-11-012 (Docket TP-180402, General Order R-596), § 480-07-140, filed 5/3/19, effective 6/3/19. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-140, filed 2/28/17, effective 3/31/17
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-140, filed 8/22/08, effective 9/22/08
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-140, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-140, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-141 Commission receipt of a document is not filing or acceptance.

The commission receives documents for administrative purposes, and such receipt alone does not constitute filing or legal acceptance of a document.

(1) Compliance review. Upon receipt, the commission will review a submission to determine whether it complies with applicable filing requirements prior to accepting it for filing and assigning a docket number, if applicable.

(2) Notice of, and opportunity to correct, noncompliance. The commission will identify any areas of noncompliance in the submission and will notify the person who made the submission within two business days, or as soon thereafter as practicable, of any areas of noncompliance that require corrective action before the commission can accept the document for filing. The notification will indicate one of the following:

(a) A requirement to submit one or more additional documents (e.g., a cover letter, certificate of service, etc.);

(b) A requirement to resubmit the document with the deficiencies corrected within a specified period of time; or

The commission will consider corrected documents to have been filed on the date the original documents were submitted if the deficiencies are not substantive or otherwise do not impair or hamper the commission's ability to timely review, analyze, or act on the merits of the submission. Otherwise, the commission will consider the documents to have been filed on the date the corrected documents are submitted.

(3) No waiver of noncompliance. By accepting a submission for filing in a docket or assigning a docket number, the commission does not necessarily certify that the submission complies with all filing requirements or waive the commission's ability to subsequently reject a document as deficient or require deficiencies to be corrected; provided that in the absence of extraordinary circumstances, the commission will not reject a document for failure to comply with applicable filing requirements more than five business days after the document has been submitted, and documents are deemed accepted and filed unless the commission provides notice of noncompliance within that time period.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-141, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-141, filed 7/27/06, effective 8/27/06.

Wash. Admin. Code § 480-07-150 Commission service of documents.

(1) Commission service defined. Commission service means sending or delivering notices, orders, or other commission documents from the commission to parties, regulated companies, or interested stakeholders. Such service includes, but is not limited to, commission service of documents in adjudications pursuant to WAC 480-07-360.

(2) Designation of person to receive service.

(a) Each party, regulated company, or interested stakeholder must designate at least one person to receive commission service of documents.

(b) Companies the commission regulates must provide the commission with current, accurate, and complete contact information for the company itself and at least one person who owns the company or who is employed or otherwise authorized by the company to receive commission service of documents on behalf of the company. Companies must inform the commission of any changes to this contact information as soon as practicable. The commission is not responsible for a company not receiving commission service of documents if the company fails to comply with this requirement.

(3) Contact information. Each party, regulated company, or interested stakeholder must provide the following information about every individual that it designates to receive commission service of documents:

(a) Name (and title, if applicable);

(b) Mailing address;

(d) Email address.

(4) Forms of service by commission.

(a) To the full extent authorized by applicable law, the commission will serve documents only in electronic form except where proof of receipt is required.

(b) When applicable law requires the commission to demonstrate that a person received a document, the commission will serve the document in one of the following ways:

(i) By certified United States mail, properly addressed with first class postage prepaid, return receipt requested; or

(ii) By personal delivery with a declaration of service.

(c) When required by applicable law or in the exercise of its discretion, the commission will serve paper copies of documents by United States mail, first class postage prepaid.

(5) When service is deemed complete. Unless otherwise ordered by the commission in a particular proceeding, commission service of documents is complete as follows:

(a) Electronic service is complete when the commission sends the document to the recipient's designated email address.

(b) Service by certified mail or personal service is complete on the date indicated on the return receipt or declaration of service.

(c) Service by mail is complete when the commission deposits the document, properly addressed, and postage prepaid in the United States mail.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-150, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-150, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-150, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-160 Confidential and other restricted information.

Several statutory provisions limit or prevent disclosure of certain information provided to the commission, including provisions exempting specified public records from disclosure or preventing the release of confidential information until affected parties have an opportunity to obtain a court order forbidding the release. The commission will provide special handling of, and restrict access to, information provided to the commission under these statutory provisions. This rule addresses each of these types of restricted information, including how to designate documents as containing exempt information, confidential information, or highly confidential information. Chapter 480-04 WAC governs the commission's specific process for responding to requests for public records that seek restricted information. WAC 480-07-420 governs access to, and exchange of, restricted information by parties in commission adjudicative proceedings.

(1) Designated official. The commission's secretary is the designated official responsible for the commission's compliance with the Public Records Act, chapter 42.56 RCW, and for the implementation of this rule. The secretary may designate one or more persons to serve as public records officer to assist in the implementation and application of this rule.

(2) Definitions.

(a) Document means any writing as the legislature has defined that term in the Public Records Act, chapter 42.56 RCW.

(b) Confidential information means valuable commercial information, including trade secrets or confidential marketing, cost, or financial information, or customer-specific usage and network configuration and design information, as provided in RCW 80.04.095 and 81.77.210.

(c) Exempt information means information protected from inspection or copying under an exemption from disclosure under chapter 42.56 RCW or any other provisions of law providing an exemption from public disclosure.

(d) Highly confidential information means confidential information subject to heightened protection pursuant to a commission-issued protective order with provisions governing such information.

(e) Provider means any person who submits information to the commission or commission staff under a claim that disclosure of the information is restricted pursuant to this rule; provided that for purposes of complying with subsection (5) of this section, "provider" does not include individuals who provide their own financial or personally identifiable information to the commission.

(f) Redacted version means the version of a document submitted to the commission with restricted information masked.

(g) Requester means any person who submits a request for public records under the Public Records Act, chapter 42.56 RCW.

(h) Restricted information means exempt, confidential, or highly confidential information.

(i) Unredacted version means the version of a document submitted to the commission with all information unmasked and visible.

(3) Waiver. A provider may claim the protection of this rule only by strict compliance with its requirements. The commission may refuse to accept for filing any document that fails to comply with these requirements. Failure to properly designate confidential or highly confidential information as required in this rule, WAC 480-07-420, or a commission protective order may result in disclosure of the information in response to a request for public records or in discovery. If a provider fails to properly designate, or otherwise does not properly treat, exempt, confidential, or highly confidential information that belongs to another person, that person may petition or file a motion with the commission seeking to protect the information and requesting any other appropriate relief.

(4) Exempt information.

(a) Designating information as exempt from disclosure. Any provider claiming that information provided to the commission is exempt from disclosure must make that claim in writing at the time the provider submits the document containing the information. The provider must also state the basis for the claim of exemption at the time the provider submits information claimed to be exempt.

(b) Provision of documents with information designated as exempt. Any provider claiming that a document contains exempt information must submit both a redacted and an unredacted version to the commission.

(i) The provider must clearly designate information claimed to be exempt on each page of the unredacted version by highlighting the text with no more than twenty percent gray shading. The provider must clearly mark each copy of the document with the designation, "Shaded information is designated as exempt per WAC 480-07-160" on the first page of a multipage document and on each specific page that the provider claims contains exempt information, except as modified pursuant to subsection (7)(a) of this section or WAC 480-07-420 and except as provided in subsection (8) of this section.

(ii) The provider must print on yellow paper any required paper copy of the pages of the unredacted version of a document that contain information designated as exempt and submit that document, in its entirety, in a sealed envelope. A provider submitting more than one document containing information designated as exempt as part of the same filing must collate all of these documents into a set, and to the extent feasible, must enclose each entire set in a separate envelope. If the commission requires more than one paper copy of documents to be submitted, the provider must submit each set of documents containing information designated as exempt in a separate envelope to the extent feasible.

(iii) The provider must label the redacted version of the document as redacted. The provider must either completely black out the information claimed to be exempt or leave a blank space where that information is located in the redacted version. The redacted and unredacted versions of a document must have the same pagination, and the text on each page must appear on the same lines. If the provider submits a document under a claim that all of the substantive information contained on multiple contiguous pages is exempt, the provider may submit a single page in the redacted version for the contiguous exempt pages if that page identifies the pages claimed to contain exempt information.

(iv) The provider must file the redacted and unredacted versions with the commission in the same web portal submission. If using another type of submission, the provider must file the redacted and unredacted versions at the same time but in separate submissions. When submitting electronic unredacted versions, the provider must state in the description field of the web portal submission, in the subject line of the transmitting email, or on a visible portion of the disc or electronic storage medium, whichever is applicable, that one or more documents in the filing contain information designated as exempt under this section.

(d) Procedures upon a request for information designated as exempt. If a requester submits a public records request for information that a provider has designated as exempt, the commission will follow the procedures outlined in chapter 480-04 WAC.

(e) Challenges to designations of information as exempt. The commission or a party to a proceeding in which a provider submits a document with information designated as exempt may challenge that designation. The commission will provide an opportunity to the provider and the parties to any adjudication to respond before ruling on the challenge. The commission may express its ruling orally on the record in an adjudicative proceeding, or in a written order.

(5) Confidential information.

(a) Designating information as confidential information. Any provider claiming that information provided to the commission is confidential must make that claim in writing at the same time the provider submits the document containing the information and must state the basis for the claim. To the extent feasible, the provider also must identify any person (other than the provider) who might be directly affected by disclosure of the confidential information.

(b) Provision of documents with information designated as confidential. Any provider claiming that a document contains confidential information must submit both a redacted and an unredacted version to the commission.

(i) The provider must clearly designate information claimed to be confidential on each page of the unredacted version by highlighting the text with no more than twenty percent gray shading. The provider must clearly mark each copy of the unredacted version of the document with the designation, "Shaded information is designated as confidential per WAC 480-07-160" on the first page of a multipage document and on each specific page the provider claims contains confidential information except as modified pursuant to subsection (7)(a) of this section or WAC 480-07-420 with respect to confidential information provided pursuant to a protective order and except as provided in subsection (8) of this section.

(ii) The provider must print on yellow paper any required paper copy of the pages of the unredacted version of a document that contain information designated as confidential and submit that document, in its entirety, in a sealed envelope. A provider submitting more than one document containing information designated as confidential as part of the same filing must collate all of these documents into a set, and to the extent feasible, must enclose each entire set in a separate envelope. If the commission requires more than one paper copy of documents to be submitted, the provider must submit each set of documents containing information designated as confidential in a separate envelope to the extent feasible.

(iii) The provider must label the redacted version of the document as redacted. The provider must either completely black out the information claimed to be confidential or leave a blank space where that information is located in the document. The redacted and unredacted versions of a document must have the same pagination, and the text on each page must appear on the same lines. If the provider submits a document under a claim that all of the substantive information contained on multiple contiguous pages is confidential, the provider may submit a single page in the redacted version for the contiguous confidential pages if that page identifies the pages claimed to contain confidential information.

(d) Request for information designated as confidential. If a requester submits a public records request for information that a provider has designated as confidential, the commission will follow the applicable process in chapter 480-04 WAC, WAC 480-07-420, or applicable protective order.

(e) Challenges to designations of information as confidential. The commission or a party to a proceeding in which a provider submits a document with information designated as confidential may challenge that designation. The commission will provide an opportunity to the provider and the parties to any adjudication to respond before ruling on the challenge. The provider of the information designated as confidential bears the burden to show that part or all of that information should be protected from disclosure. The commission may express its ruling orally on the record in an adjudicative proceeding, or in a written order.

(6) Highly confidential information.

(a) Designating information as highly confidential. Any provider claiming that information provided to the commission is highly confidential must make that claim in writing at the time the provider submits the document containing the information. The provider also must identify the highly confidential protective order providing the basis for the claim.

(b) Provision of documents containing highly confidential information. Any provider claiming that a document contains highly confidential information must submit a redacted and an unredacted version to the commission.

(i) The provider must clearly designate information claimed to be highly confidential on each page of the unredacted version by highlighting the text with no more than twenty percent gray shading. The provider must clearly mark each copy of the document with the designation, "Shaded information designated as highly confidential per protective order in Docket (insert docket number)"on the first page of a multipage document and on each specific page which the provider claims contains highly confidential information, except as modified pursuant to subsection (7)(a) of this section or WAC 480-07-420 and except as provided in subsection (8) of this section.

(ii) The provider must print on blue paper any required paper copy of the pages of the unredacted version of a document that contain information designated as highly confidential and submit that document, in its entirety, in a sealed envelope. A provider submitting more than one document containing information designated as highly confidential as part of the same filing must collate all of these documents into a set, and to the extent feasible, must enclose each entire set in a separate envelope. If the commission requires more than one paper copy of documents to be filed, the provider must submit each set of documents containing information designated as highly confidential in a separate envelope to the extent feasible.

(iii) The provider must label the redacted version of the document as redacted. The provider must either completely black out the information claimed to be highly confidential or leave a blank space where that information is located in the redacted document. The redacted and unredacted versions of a document must have the same pagination, and the text on each page must appear on the same lines. If the provider submits a document under a claim that all of the substantive information contained on multiple contiguous pages is highly confidential, the provider may submit a single page in the redacted version for the contiguous restricted pages if that page identifies the pages claimed to be highly confidential.

(d) Request for information designated as highly confidential. If a requester submits a public records request for information that a provider has designated as highly confidential, the commission will follow the applicable procedures in chapter 480-04 WAC, WAC 480-07-420, or the applicable protective order.

(e) Challenges to designations of information as highly confidential. The commission or a party to a proceeding in which a provider submits a document that the provider claims contains highly confidential information may challenge that designation. The commission will provide an opportunity to the provider and the parties to respond before ruling on any challenge. The provider of the information designated as highly confidential bears the burden to show that a part or all of that information should be protected from disclosure under the terms of the protective order. The commission may express its ruling orally on the record or in a written order.

(f) Initial filing. A provider may withhold information from an initial filing that the provider intends to designate as highly confidential after the commission enters a protective order under the following conditions:

(i) The provider describes the withheld information with reasonable particularity;

(ii) The provider files and serves complete unredacted and redacted versions of all documents that contain information designated as highly confidential as soon as practicable after the commission enters a protective order; and

(iii) The initial filing otherwise complies with all filing requirements in these rules including, but not limited to, the general rate proceeding filing requirements in subpart B. The commission may reject an initial filing if the withheld information is necessary for the commission to determine whether the filing complies with applicable filing requirements.

(7) Procedures for documents containing multiple types of restricted information. Documents submitted to the commission may contain more than one type of restricted information. For example, a document may contain exempt information on one page and highly confidential information on another page. Any provider submitting a document containing more than one type of restricted information must comply with the provisions of this rule for each type of restricted information, subject to the provisions of this subsection. When the commission receives a request for a document containing more than one type of restricted information, the commission will also follow the procedures listed above for each relevant type of restricted information.

(a) Differentiating types of restricted information. The provider is responsible for distinguishing each type of restricted information from another when a document contains more than one type of restricted information. Possible methods for doing so include, but are not limited to, underlining or bracketing one type of information. The provider must identify the method used on each page of the document that contains that type of restricted information, e.g., by modifying the required designations to state, "Underlined and shaded information designated as highly confidential per protective order in Docket (insert docket number)," and "Shaded only information designated as exempt under WAC 480-07-160." The method used must be visible on both the redacted and unredacted versions of the document.

(b) Documents containing no highly confidential information. When a document contains both exempt and confidential information but no highly confidential information, the provider must submit a single unredacted version with all restricted information marked in accordance with subsections (4)(c), (5)(c), and (7)(a) of this section except as provided in subsection (8) of this section. The provider must submit a single redacted version with all restricted information masked.

(c) Documents containing highly confidential information in addition to other types of restricted information. When the document contains highly confidential information in addition to one or more other types of restricted information, the provider must submit a single unredacted version with all restricted information marked in accordance with subsections (4)(c), (5)(c), (6)(c), and (7)(a) of this section, as applicable, except as provided in subsection (8) of this section. The provider must submit at least two different redacted versions of the document. The first redacted version must mask all highly confidential information, but leave all other restricted information unmasked. The second must mask all highly confidential information and all other restricted information.

(8) Spreadsheets. If the cells in a spreadsheet or other tabular document include information that has been designated as exempt, confidential, or highly confidential and that would be impractical or unduly burdensome to mark as required in subsections (4) through (7) of this section, the provider need not comply with those requirements but must identify that information in a way that reasonably provides the commission with sufficient identification of the information to be protected and the basis for that protection.

(9) Designation or redesignation of exempt, confidential, or highly confidential information. No later than the time for filing briefs or, if no briefs are filed, within ten days after the close of the record in an adjudication in which a party has designated information as exempt, confidential, or highly confidential, that party must verify the accuracy of all such designations in the record and in the exhibit list for the proceeding, and submit to the commission any proposed corrections or changes. Absent a statement of proposed corrections or changes, the designations in the record and in the exhibit list are final, and the commission will change those designations only if the provider voluntarily removes, or is required by law to remove, the designation.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-002 (Docket A-130355, General Order R-593), § 480-07-160, filed 9/19/18, effective 10/20/18
WSR 17-06-051 (General Order R-588), § 480-07-160, filed 2/28/17, effective 3/31/17
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-160, filed 8/22/08, effective 9/22/08
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-160, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-160, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-170 Official communications from the commission.

(1) Definition. An official communication from the commission notifies interested parties and the public of the agency's position, anticipated action, or resolution of issues in matters that come within the commission's statutory authority.

(2) When a communication is official. A communication from the commission is an official communication only if it is signed or otherwise verifiably issued or entered by the commissioners, the commission's secretary or other assistant deputized, designated, or delegated to perform commission duties pursuant to RCW 80.01.030, or the secretary's designee. In addition, the presiding administrative law judge or the administrative law judge's designee may sign, issue, or enter official communications relating to an adjudicative proceeding.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-170, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-170, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-175 Inspection and production of documents in commission investigations.

(1) Inspection. Every public service company must make its accounts, books, papers, and documents available for commission inspection at any and all times.

(2) Production. The commission may require a public service company to provide copies of documents to the commission for inspection at the commission's offices.

(a) Format. The commission will require a public service company to provide documents for commission inspection by serving the company with a letter or other writing signed by the secretary or an administrative law judge.

(b) Response. The public service company must provide the required documents, or any objections to providing those documents, to the commission within ten business days of the date the commission serves the letter or other writing unless the commission specifies a different deadline.

(c) Objections. Any objections the public service company gives in lieu of providing the requested documents must describe in detail the legal and factual basis for the company declining to provide the documents. Commission staff must file a response to the objections within five business days. The commission will notify the company of the disposition of its objections and the date by which the company must provide any requested documents the commission determines that the company must provide.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-175, filed 2/28/17, effective 3/31/17.

Wash. Admin. Code § 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 42.56 RCW, or under a protective order in an adjudicative proceeding. The commission's secretary or public records officer will provide a copy of a referenced document upon request, allowing reasonable time for any necessary copying, subject to any applicable 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, makes a ruling, 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-180, filed 2/28/17, effective 3/31/17
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-180, filed 8/22/08, effective 9/22/08
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-180, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-190 Electronic signatures.

(1) Authorization. To the extent authorized under RCW 19.360.020, the commission will accept electronic signatures on all documents submitted to the commission for filing that applicable law requires or allows to be signed by hand if the electronic signature complies with this rule and any other applicable requirements (e.g., of the entity on whose behalf the person is signing). The commission may use electronic signatures on documents it issues, enters, or serves including, but not limited to, orders, notices, and correspondence, to the extent authorized under RCW 19.360.020.

(2) Definitions.

(a) An electronic signature is one or more letters, characters, numbers, or other symbols in digital form incorporated in, attached to, or otherwise logically associated with an electronic document that:

(i) Identifies and authenticates a particular person as the source of the document; and

(ii) Indicates such person's intent to sign the document and approval of the information contained in that document.

(b) A secure electronic signature is an electronic signature that:

(i) Is unique to the person making the signature;

(ii) The technology or process used to make the signature is under the sole control of the person making the signature;

(iii) The technology or process can be used to identify the person using the technology or process; and

(iv) The electronic signature can be linked with the document in such a way that the signature can be used to determine whether the document has been changed since the electronic signature was incorporated in, attached to, or otherwise associated with the document.

(3) Requirements.

(a) Attorney signatures. An electronic document that requires an attorney's signature must include the date on which the document was signed and be signed:

(i) With a secure electronic signature;

(ii) With the symbol "/s/" followed by the attorney's name, state bar number, and full contact information; or

(iii) By hand and the entire document scanned and submitted in searchable .pdf format (adobe acrobat or comparable software); the party or person submitting the electronic document must maintain the original signed paper document for at least sixty days beyond the close of the docket, proceeding, or matter in which it is filed, including any period of judicial review.

(b) Other signatures. An electronic document that requires a signature and is signed by a person who is not an attorney acting in a representative role must include the date on which it was signed and be signed:

(i) With a secure electronic signature;

(ii) With the symbol "/s/" followed by the person's name, title, company, street address, telephone number, and email address; or

(c) Signatures subject to penalty of perjury. An electronic document required to be signed under penalty of perjury must include the date on which it was signed and be signed by the person subject to penalty of perjury:

(i) With a secure electronic signature; or

(ii) By hand and the entire document scanned and submitted in searchable .pdf format (adobe acrobat or comparable software); the party or person submitting the electronic document must maintain the original signed paper document for at least sixty days beyond the close of the docket, proceeding, or matter in which it is filed, including any period of judicial review, or for as long as the document is effective, whichever period of time is longer.

(4) Effect.

(a) Submissions. An electronic document submitted to the commission in compliance with this rule shall bind each person whose electronic signature is incorporated in, attached to, or otherwise logically associated with the document and shall be deemed the equivalent of an original signed document.

(b) Commission communications. All notices, orders, or other documents issued, entered, or served by the commission with one or more electronic signatures in compliance with this rule and WAC 480-07-170 are official communications of the commission.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-190, filed 2/28/17, effective 3/31/17.

Wash. Admin. Code § 480-07-200 Scope of Part II.

The rules in this part apply to all rule-making proceedings before the commission.

History

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

Wash. Admin. Code § 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.

History

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

Wash. Admin. Code § 480-07-220 Monitoring rule-making proceedings; lists of interested persons.

(1) Information. The commission's website includes information about each pending rule-making proceeding under the docket number the commission has assigned to that rule making.

(2) Notification. The commission maintains lists of persons interested in potential rule-making proceedings that concern particular regulated industries and other areas of potential interest. The commission sends notice of rule-making proceedings via email to persons on these lists. Any person may request in writing that the commission's records center include them on the relevant list or lists. Such requests must include the person's name, entity and title (if the person is representing a company, association, or other organization), and email address. The commission may establish a fee for this service.

(3) Individual rule making. The commission also maintains a distribution list of persons to whom it sends electronic copies of notices, orders, or other documents it issues in individual rule making. Any interested person may be included on the distribution list the commission maintains for specific rule making by requesting in writing to be included on that list. Such requests must include the person's name, entity and title (if the person is representing a company, association, or other organization), and email address. In addition, the commission generally will include on that distribution list persons who file comments in the rule making unless those persons submit only generic comments as a member of an organization or other entity that prepared, sponsored, or otherwise generated or arranged for those comments.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-220, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-220, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-220, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 website.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-230, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-230, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

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

Wash. Admin. Code § 480-07-250 Submitting documents in rule-making proceedings.

(1) Scope of rule. This section governs communications to the commission in rule-making proceedings. These rules are in addition to the general rules for communicating with the commission in WAC 480-07-140.

(2) Submitting comments. All written comments submitted in a rule making must be addressed to the commission secretary.

(3) Methods for delivering comments and other communications. The commission will accept only electronic copies of comments or other documents submitted for filing in a rule-making proceeding. A person must submit such documents by sending them to the commission through the records center web portal, at the address provided in WAC 480-07-125 or the commission's website, without providing a paper copy. If a person is unable to use the records center web portal to submit documents for filing, the commission will accept a submission via email as provided in WAC 480-07-140 (5)(b) or on a disc or other commonly used electronic storage medium by mail or hand delivery as provided in WAC 480-07-140 (5)(c), without providing a paper copy.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-250, filed 2/28/17, effective 3/31/17.

Wash. Admin. Code § 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 or is a proceeding the commission voluntarily commences as an adjudication as defined and described in chapter 34.05 RCW.

(2) Examples of adjudicative proceedings before the commission. The following are nonexclusive examples of adjudicative proceedings for purposes of this chapter once the commission takes formal action to commence such a proceeding pursuant to WAC 480-07-035:

(a) Formal complaint proceedings commenced pursuant to RCW 80.04.110 or 81.04.110 or complaints the commission initiates.

(b) Suspended tariff filings including, but not limited to, tariffs increasing rates.

(c) Applications for authority (e.g., certificates, licenses, and permits) to which a person has filed an objection or protest or as to which the commission has issued a notice of intent to deny the application and grants a request for hearing.

(d) Petitions for enforcement of interconnection agreements.

(e) Objections to closures of highway-railroad grade crossings.

(f) Declaratory order proceedings.

(g) Challenges to, or requests for mitigation of, a penalty assessment when the commission grants a request for a hearing.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-300, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-300, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 notifies a party that the commission will conduct a prehearing conference, hearing, or other stage of an adjudicative proceeding.

(2) Who may seek to commence an adjudicative proceeding. A person involved in an actual case or controversy subject to the commission's jurisdiction may apply to the commission to commence an adjudicative proceeding by submitting the appropriate form of pleading.

(3) Types of pleadings that request an adjudicative proceeding. The following pleadings, when properly and timely submitted for filing, constitute applications for adjudicative proceedings:

(a) Formal complaints submitted by persons other than commission staff.

(b) Petitions for commission action when the relief requested requires adjudication or when the commission determines the issues presented should be resolved through 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) Requests for a hearing to contest, or seek mitigation of, penalties assessed without a prior hearing.

(e) Protests of, or objections to, applications for authority.

(f) Requests for hearing to contest a commission notice of intent to deny an unprotested application for authority.

(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 the commission requires regarding the application, and notify the applicant of the name, email address, and telephone number of a person on the commission staff who the applicant may contact regarding the application.

(5) Commission determination whether to conduct an adjudicative proceeding. Within ninety days after receiving an application for an adjudicative proceeding, the commission will:

(a) Commence an adjudicative proceeding by serving 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 brief written statement of the reasons for that decision. While other circumstances may justify not commencing an adjudicative proceeding, the commission will not commence an adjudicative proceeding under the following circumstances:

(i) The commission lacks jurisdiction or the authority to grant the requested relief.

(ii) The matter is not ripe for commission determination.

(iii) An adjudicative proceeding would be contrary to statute or rule.

(iv) The subject matter is being, or will be, considered in another proceeding.

(v) The applicant lacks standing to request the relief it seeks from the commission.

(vi) The subject matter is not required to be resolved in an adjudicative proceeding, as defined in chapter 34.05 RCW, or would be better addressed informally or in a different proceeding.

(c) The commission will conduct any administrative review of a decision not to conduct an adjudicative proceeding using the same procedures applicable to review of initial orders set forth in WAC 480-07-825.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-305, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-305, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-307 Probable cause determinations.

An administrative law judge will review the information or evidence supporting any complaint commission staff proposes to have the commission issue and will determine whether probable cause exists to issue the complaint. Upon determining that the information would sustain the complaint if proved at hearing and not rebutted or explained, the judge will sign the complaint 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 complaint.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-307, filed 2/28/17, effective 3/31/17. Statutory Authority: 2006 c 246, RCW 80.01.040 and 80.04.160. WSR 06-17-126 (Docket A-060357, General Order No. R-538), § 480-07-307, filed 8/21/06, effective 9/21/06.

Wash. Admin. Code § 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 resolution of the proceeding, no person who has a direct or indirect interest in the outcome of the proceeding, including the commission's advocacy or investigative staff, may directly or indirectly communicate about the merits of the proceeding with the commissioners, the administrative law judge assigned to the adjudication, or the commissioners' assistants, advisory staff, 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 concerning procedural aspects of the proceeding, such as scheduling, are not ex parte communications prohibited by RCW 34.05.455, or by this section.

(b) Commissioners, commission employees, and consultants. As presiding officers, commissioners and administrative law judges may receive legal counsel or consult with assistants, advisory staff, 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 advocacy functions in the same or a factually related case. The presiding officers and these assistants, advisory staff, and consultants also may communicate with one another regarding the merits of any adjudicative proceeding.

(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 in that capacity, the presiding officer, after starting to serve, must promptly disclose the communication as prescribed in subsection (4) of this section.

(4) What is required if an ex parte communication occurs. A presiding officer who receives or becomes aware of any communication that appears to violate RCW 34.05.455 or this section will include documentation of the communication in the record of the pending matter. Such documentation will include any written communication received and any written response, or a memorandum stating the substance of any oral communication received and response made, as well as the identity of each person involved in the communication. The presiding officer will notify all parties that this documentation has been included in the record and will provide parties with the opportunity to file and serve a written rebuttal statement in response to the notice of ex parte communication. Materials 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 them into the evidentiary record for purposes of establishing a fact at issue and the commission admits that portion into the record 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 or any party may report a violation of this section to appropriate authorities for any disciplinary proceedings provided by law.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-310, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-310, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

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

Wash. Admin. Code § 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 director of the administrative law division will designate an administrative law judge to preside in individual proceedings, either to assist the commissioners in their role as presiding officers as described in subsection (1) of this section, or to serve alone as the 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 applicable law prohibits entry of an initial order. An initial order becomes final if no party petitions for administrative review within twenty days and the commissioners do not review the order on their own motion. The commissioners will enter a final order if a party petitions for, or the commission on its own motion undertakes, administrative review of an initial order, if the parties and the commission agree to waive an initial order, or as otherwise provided by law.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-330, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-330, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-340 Parties—General.

(1) Definitions.

(a) Person. As defined in RCW 34.05.010(14), a person is any individual, partnership, corporation, association, governmental subdivision or unit thereof, or public or private organization or entity of any character.

(b) Party. As defined in RCW 34.05.010(12), a party is a person to whom the agency action is specifically directed. A party is also a person named as a party to the agency proceeding or allowed to intervene or participate as a party in the agency proceeding.

(2) Appearance requirement. The commission will not grant party status to a person who fails to appear at the earliest prehearing conference if one is held, or hearing session if there is no prehearing conference, unless the person is excused from appearing by the presiding officer or shows good cause for failing to timely appear. The commission staff and the public counsel unit of the attorney general's office become parties to an adjudicative proceeding for all purposes upon entering an appearance.

(3) Classification of parties. The commission generally will refer to parties in commission proceedings by their names but may refer to them according to their classification in the proceeding, as follows:

(a) Applicants. Persons applying for any right or authority that the commission has jurisdiction to grant are applicants.

(b) Complainants. Persons who file a formal complaint with the commission are complainants. When the commission commences an adjudicative proceeding on its own complaint, the commission is the complainant.

(d) Movants. Persons filing a motion for relief are movants or moving parties.

(e) Respondents. Persons against whom any formal complaint, petition, or motion is filed are respondents.

(f) Intervenors. Persons other than the original parties, commission staff, and public counsel that the commission permits to appear and participate as parties are intervenors.

(g) Protestants. Persons who file a protest to oppose an application are protestants.

(h) Objectors. Persons who file an objection to oppose an application are objectors.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-340, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-340, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-340, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 at least 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; or

(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 sole 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.

(a) Attorneys or other authorized representatives who wish to appear on behalf of a party or person seeking party status must file a written notice of appearance with the commission and serve all parties to the proceeding prior to acting in a representative capacity unless the attorney or authorized representative has previously appeared through the party's initial pleading or written petition to intervene.

(b) A party's initial pleading or written petition to intervene filed in a proceeding must designate the party's attorney or other representative authorized to accept service on behalf of the party.

(c) A party must file a written notice with the commission and serve all parties to make any changes to its designation of authorized representative(s).

(d) Attorneys or other authorized representatives who wish to withdraw from representing a party must file a separate written notice of withdrawal with the commission and serve all parties to the proceeding.

(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 the commission 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-345, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-345, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

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

Wash. Admin. Code § 480-07-355 Parties—Intervention.

(1) Petition to intervene.

(a) Who may petition; when petitions must be filed. The commission strongly prefers written petitions to intervene from any person who seeks to appear and participate as a party in a proceeding before the commission other than the original parties, commission staff, and public counsel. Written petitions to intervene should be filed 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, whichever occurs first, unless the commission requires written petitions to intervene in a notice prior to the first hearing or prehearing date.

(b) Late-filed petition to intervene. The commission may grant a petition to intervene made after the initial hearing or prehearing conference, whichever occurs first, only on a showing of good cause, including a satisfactory explanation of why the person did not timely file a petition to intervene.

(i) The petitioner's name and contact information as specified in WAC 480-07-360(3);

(ii) The petitioner's interest in the proceeding;

(iii) The petitioner's position 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 that clearly and concisely sets forth the basis for the petitioner's proposal to broaden the issues; and

(v) The name and contact information as specified in WAC 480-07-360(3) of the persons the petitioner has authorized to act as the petitioner's representatives, including attorneys, if any.

(2) Response. Parties may respond to any petition to intervene. Responses may be written or may be heard orally at the prehearing conference or hearing at which the commission considers the petition. A party's written response to a timely filed written petition to intervene should be filed and served at least two business days before the prehearing conference or hearing at which the commission will consider the petition, or at such other time as the commission may establish by notice.

(3) Disposition of petitions to intervene. The commission generally will consider petitions to intervene at the prehearing conference or at the initial hearing if the commission does not conduct a prehearing conference. The presiding officer may grant a petition to intervene if the petitioner has a substantial interest in the subject matter of the hearing or if the petitioner's participation is in the public interest. If the commission grants intervention, the petitioner becomes a party to the proceeding as an intervenor. The presiding officer may impose limits on an intervenor's participation in accordance with RCW 34.05.443(2).

(4) Dismissal of intervenor. The commission may dismiss an intervenor from a proceeding at any time after notice and a reasonable opportunity to be heard if the commission determines that the intervenor has no substantial interest in the proceeding and 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-355, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-355, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-360 Parties—Service and master service list.

(1) Service defined. Service means sending or delivering, in accordance with RCW 34.05.010(19) and this rule, the following documents in an adjudicative proceeding:

(a) Documents submitted to the commission for filing that must be sent or delivered to the parties in that proceeding;

(b) Documents that are not submitted to the commission for filing but that are formally exchanged between parties (e.g., data requests and responses); or

(c) Orders, notices, or other documents the commission enters or issues that must be sent or delivered to the parties or to any other persons to whom service may be required.

(2) Designation of person to receive service. Each party in an adjudicative proceeding must designate at least one person to receive service of documents relating to the adjudication. A party may designate more than one person to receive electronic service subject to any limits the presiding officer may establish on the number of persons each party may designate. Service on the person or persons who a party has designated as its representative(s) is valid service upon the party, except as provided by law.

(3) Contact information. In its initial filing in the adjudicative proceeding, each party or person seeking to become a party must designate the individuals to receive service on behalf of the party or person and must supply the following information about each such individual:

(a) Name;

(b) Mailing address;

(d) Email address; and

(e) Relationship to party (e.g., counsel, executive director, etc.).

(4) Master service list. The commission will maintain a master service list for each adjudicative proceeding. The commission will include an initial master service list as an appendix to the prehearing conference order, if any, in the proceeding and will maintain a current master service list on the commission's website as a separate document under the docket number for the proceeding. Parties must provide written notice to the commission and the other parties of any changes to the master service list.

(5) Contents of master service list. The master service list will contain the contact information for each party to the proceeding and each party's designated representative(s) for service. If the commission requires both paper and electronic service, the master service list will identify the one person representing each party who must be served paper copies in addition to electronic service.

(6) Electronic service required.

(a) Each party must serve documents by delivering electronic copies to each person on the master service list. Unless otherwise required by law, a party need not deliver a paper copy of the documents to any other party to perfect service but may serve a paper copy of any documents in addition to the electronic copies on a party that requests a paper copy.

(b) The commission will only serve documents electronically on each party's designated representatives, except as required otherwise by law. To the extent a statute requires a party's agreement to electronic service, the commission presumes that by participating as a party to an adjudicative proceeding, each party agrees to electronic service of all documents in that proceeding, including orders and notices the commission serves, unless the party states on the record at or before the initial prehearing conference or the hearing, whichever occurs first, that the party does not agree to electronic service. If a party lawfully insists on paper service, the commission will serve all documents electronically and also will serve on that party the paper documents the applicable statute requires be served in paper form.

(7) When service is deemed complete. Unless otherwise ordered by the commission in a particular proceeding, service is complete when the document being served has been verifiably sent to the recipient's designated email address. Parties serving documents should maintain records of documents sent by email and, to the extent practicable, should confirm successful delivery.

(8) Certificate of service. Each submission of one or more documents for filing to meet a single deadline in an adjudicative proceeding must include a certificate of service that states substantially as follows:

| "I hereby certify that I have this day served [name of document(s)] upon all parties of record in this proceeding, by electronic transmission to the email address(es) of each party or party representative listed in the commission's master service list for this docket." | | --- | | | | Dated at . . . . . . . . this . . . . . . . . . . day of . . . . . . . . . . | | | | (Signature of person who served the document) |

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

Wash. Admin. Code § 480-07-365 Filing documents in adjudicative proceedings.

(1) Scope of rule. The requirements in this section are in addition to the general requirements for submitting documents to the commission in WAC 480-07-140 and any requirements in a specific adjudication. The commission will not consider documents to be filed until all applicable requirements are satisfied.

(2) Electronic filing is required. Except as otherwise required by these rules or other law, documents filed in an adjudicative proceeding must be submitted electronically using the commission's records center web portal no later than 5:00 p.m. on the date the documents are required to be filed unless the commission establishes an earlier time.

(a) Submissions exceeding size limitations. If the submission exceeds the size limitations of the commission's web portal, the submission will be timely if the documents are submitted by 5:00 p.m. through one of the options specified in WAC 480-07-140(5).

(b) Exact copy. Any paper copies of the document the commission requires by rule or order must conform exactly in form and content to the electronic version.

(c) Simultaneous delivery to all parties and presiding officer. All electronic documents submitted to the commission through the web portal or by email on a filing deadline date must be delivered to all parties and the presiding administrative law judge by email at the same time the documents are submitted to the commission or immediately thereafter. Copies intended for the presiding administrative law judge must be sent to the judge's individual email address. Submissions should not be sent directly to the commissioners.

(3) Exception for documents offered and received at hearing. When authorized by the presiding officer, a document may be officially received for purposes of an adjudicative proceeding when the presiding officer receives the document for the record at a hearing. The commission's receipt of the document for filing is contingent on submission of electronic copies as required in this section by 5:00 p.m. on the next business day, unless the presiding officer establishes a different submission deadline.

(4) Failure to file required copies. If a person fails to file the required types of electronic copies of a document and any required paper copies of a document, the commission may reject the filing or may require the person to file the required electronic and paper copies. The commission will not consider the document to be officially filed until the commission receives all required copies.

(5) Service required. Submission of any document with the commission for filing in an adjudicative proceeding is not complete until the party submitting the document has served all other parties to the proceeding pursuant to WAC 480-07-360.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-365, filed 2/28/17, effective 3/31/17.

Wash. Admin. Code § 480-07-370 Pleadings—General.

Types of pleadings permitted. Pleadings include, but are not necessarily limited to, formal complaints, answers to complaints, petitions, responses to petitions, replies, applications for authority, protests, and objections. The commission may allow other pleadings upon written motion or on the commission's own motion.

(1) Formal complaints.

(a) Defined. Formal complaints are complaints filed in accordance with RCW 80.04.110 or 81.04.110, complaints filed under RCW 80.54.030, and commission complaints in proceedings designated by the commission as formal commission proceedings. For purposes of this rule, a formal complaint does not include an informal complaint filed pursuant to WAC 480-07-910 or a commission complaint and order suspending a rate increase or other tariff filing.

(b) Contents. A formal complaint must be in writing and must clearly and concisely set forth the grounds for the formal complaint, the relief requested, and the commission's jurisdiction to commence an adjudication and grant the requested relief. A formal complaint must state:

(i) The complainant's name and address and the contact information for the individuals to receive service on behalf of the complainant as required under WAC 480-07-360(3);

(ii) The full name and address of the person complained against, which should be the name and address contained in the commission's records if the respondent is a public service company;

(iii) Facts that constitute the basis of the formal complaint and requested relief, including relevant dates;

(iv) Citations to statutes or commission rules the complainant alleges that the respondent has violated and that provide the commission with jurisdiction to resolve the complaint and grant the relief the complainant requests; and

(v) Facts and law sufficient to demonstrate that the complainant has complied with all other prerequisites including, but not necessarily limited to, the requirements in RCW 80.04.110 or 81.04.110, if applicable.

(2) Answer to formal complaint.

(a) Defined. A pleading responding to a formal complaint is an answer.

(b) Timing. If the commission decides to commence an adjudicative proceeding on its own complaint or in response to a formal complaint brought by another person, the commission will serve the complaint on the respondent. A respondent must file any answer to a formal complaint, whether required or optional, within twenty days after the commission serves the complaint or such other time as the commission specifies in the notice accompanying the complaint.

(d) When optional. A party may file an answer to a complaint brought by the commission.

(e) Content. Answers must include the following information:

(i) The name and contact information of the respondent and the individuals to receive service on behalf of the respondent as required under WAC 480-07-360(3);

(ii) Admissions or denials, specifically and in detail, of all material allegations of the formal complaint; and

(iii) Full and complete disclosure of the respondent's affirmative defenses, if any.

(3) Petitions.

(a) Defined. All original pleadings that seek relief other than formal complaints and applications as defined in this section and all pleadings that seek relief from a commission order, are petitions. 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.

(b) Contents. A petition must be in writing and must clearly and concisely set forth the grounds for the petition, the relief requested, and the commission's jurisdiction to grant the requested relief. A petition must state:

(i) For original petitions, the name and contact information of the petitioner and the individuals to receive service on behalf of the petitioner as required under WAC 480-07-360(3) if the petitioner is requesting that the commission commence an adjudicative proceeding in response to the petition;

(ii) Facts that constitute the basis of the petition and requested relief, including relevant dates; and

(iii) Citations to statutes or commission rules that provide the commission with jurisdiction and authority to grant the requested relief.

(4) Response to a petition.

(a) Defined. A pleading responding to a petition is a response.

(b) Timing of response. Responses to a petition must be filed within twenty days after the petition is filed unless the commission or these rules establish a different deadline or the petition seeks commission action that the commission generally considers taking at an open public meeting (e.g., an accounting petition). Responses to petitions the commission considers at an open meeting should be filed no later than three business days before that open meeting. The presiding officer will establish the time for responses to interlocutory petitions in an adjudicative proceeding.

(c) When permitted. Any person directly affected by an original petition may file a response. Any party to the adjudicative proceeding may file a response to a petition filed in that proceeding except as otherwise provided in this chapter or a commission order.

(d) Content. Responses must include the following information:

(i) For original petitions, the name and address of the respondent and the individuals to receive service on behalf of the respondent as required under WAC 480-07-360(3) if the respondent seeks to become a party to any adjudicative proceeding the commission commences in response to the petition;

(ii) All legal and factual bases that support the respondent's position either to grant or deny the petition.

(5) Reply to an answer or response.

(a) Defined. The pleading responding to an answer or response is a reply. A party must not file a reply without permission from the commission, which the commission will grant only upon a showing of good cause.

(b) Motion for permission to reply. A party that wishes to reply to an answer or response must file a motion requesting permission to reply within five business days after the respondent serves the answer or response. The motion must explain why a reply is necessary including, but not necessarily limited to, whether the answer or response raises new facts or legal argument requiring a reply. A party should file a proposed reply as an attachment to its motion. The motion is deemed denied unless the commission grants the motion within five business days after the movant files it.

(6) Application. An application is a request for a license, certificate, permit, or other authority to provide a service regulated by the commission or a request to transfer or amend any such authority.

(7) Protest. Persons who assert that their interests would be adversely affected if the commission grants an application other than an application for auto transportation service pursuant to WAC 480-30-096 may file a protest. A protest to an application must conform to the requirements of any rules that apply to the type of application the person is protesting. A protestant must serve a copy of the protest on the applicant.

(8) Objection. Persons who assert that their interests would be adversely affected if the commission grants an application for auto transportation service pursuant to WAC 480-30-096 may file an objection. An objection must conform to the requirements of WAC 480-30-116. The objector must serve a copy of the objection on the applicant.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-370, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-370, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-375 Motions.

(1) Defined. Except for pleadings identified as petitions under these rules, a party's written or oral request for commission action in the context of an adjudicative proceeding is a motion. Motions should be in writing unless made on the record during a hearing before the presiding officer. The commission may take or require an action that would be the proper subject of a party's motion without receiving a motion from a party. The commission will provide oral or written notice prior to taking or requiring such action 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 that the commission terminate a proceeding, resolve one or more of the substantive issues presented in the proceeding, or terminate a party's participation in the proceeding.

(b) Procedural motions. Procedural motions request that the commission establish or modify the process or the procedural schedule in a proceeding.

(c) Discovery motions. Discovery motions are requests to resolve disputes concerning the exchange of information among parties during the discovery phase of a proceeding.

(d) Evidentiary motions. Motions related to evidence are requests to limit or add to the evidentiary record in a proceeding.

(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 make 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 that are not dispositive or do not seek a continuance. A party that opposes a written motion, other than a dispositive motion governed by WAC 480-07-380 or a motion for continuance governed by 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-375, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-375, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-380 Motions that are dispositive—Motion to dismiss; motion for summary determination; motion to withdraw.

(1) Motion to dismiss.

(a) General. A party may move to dismiss another party's claim or case on the asserted basis that the opposing party's pleading fails to state a claim on which the commission may grant relief. When ruling on such a motion, the commission will consider the standards applicable to a motion made under Washington superior court civil rule 12 (b)(6) and 12(c). If a party presents an affidavit, declaration, or other material in support of its motion to dismiss, the commission will treat the motion as one for summary determination as provided in subsection (2) of this section unless the commission rules on the motion without relying on the material.

(b) Time for filing motion to dismiss. A party that opposes a pleading must file any motion directed to the pleading no later than the time the responsive pleading is due, or within twenty days after the pleading is served, whichever time is less, unless the party shows good cause for delay. Filing a motion to dismiss a pleading or seeking a similar remedy does not extend the time for answering the pleading.

(c) Response. A party that opposes a written motion to dismiss may file a response within ten days after service of the motion, or at such other time as the commission may set.

(2) Motion for summary determination.

(a) General. A party may move for summary determination of one or more issues if the pleadings filed in the proceeding, together with any properly admissible evidentiary support (e.g., affidavits, declarations, fact stipulations, or matters of which the commission may take official notice), show that there is no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law. When ruling on such a motion, the commission will consider the standards applicable to a motion made under Washington superior court civil rule 56.

(b) Time for filing motion for summary determination. A party must file any motion for summary determination at least thirty days before the next applicable hearing session unless the commission establishes by order a different date for any such motion to be filed.

(c) Response. A party must file any answer to a motion for summary determination and any cross-motion for summary determination within twenty days after the movant serves the motion unless the commission establishes a different filing date.

(d) Continuance not automatic. Filing a motion for summary determination will not automatically stay any scheduled procedures. The commission may order a continuance of any procedure and may order that an oral or written response to a motion for summary determination be made at a time that is consistent with any established hearing schedule in the proceeding.

(3) Motion to withdraw.

(a) General. Once the commission has issued a hearing notice or otherwise commenced an adjudicative proceeding pursuant to chapter 34.05 RCW, a party may withdraw from that proceeding, or may withdraw the party's tariff, complaint, petition, or application on which a proceeding is based, only upon permission granted by the commission in response to a written motion. The motion must include any settlement or other agreement pursuant to which the party is seeking withdrawal.

(b) Response. No party may file a response to a motion to withdraw unless the commission authorizes a response. The commission will grant such a motion when the requested withdrawal is in the public interest. A company need not file a motion to withdraw a tariff filing after the commission has entered a complaint and order suspending that tariff but before the commission commences an adjudicative proceeding. In such circumstances, the company need only file a written notice that it is withdrawing that filing.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-380, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-380, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-380, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-385 Motion for continuance or suspension.

(1) Definitions.

(a) A continuance is any postponement of a deadline established by commission rule or order or any extension of time to comply with such a deadline.

(b) A suspension holds all procedural deadlines established by the commission in abeyance pending further commission action.

(2) Procedure.

(a) Continuance. Any party may request a continuance by oral or written motion. The commission may require a confirmation letter or email 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 written 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. A party may request a continuance by email to the presiding administrative law judge if the party accurately represents that all other parties either join or do not oppose the request. The commission will grant such a request unless it is inconsistent with the public interest or the commission's administrative needs.

(b) Suspension. A party may request that the commission suspend the procedural schedule through a letter or email to the presiding administrative law judge if the party accurately represents that all other parties either join or do not oppose the request. The commission will grant such a request unless it is inconsistent with the public interest or the commission's administrative needs.

(3) Timing.

(a) Written motion for continuance. A party must file and serve any written motion for continuance other than an agreed request at least five business days prior to the deadline the party requests to continue. Parties must file any written response to the motion within three business days after the motion is served unless the commission establishes a different date for responses. Parties should submit an agreed request for continuance in writing at least two business days prior to the deadline the parties request to continue.

(b) Oral request for continuance. A party must make any oral request for continuance on the record in a proceeding at least two business days prior to the deadline the party seeks to continue. The commission will permit oral responses at the time the oral request is made.

(c) Request for suspension. A party should request that the commission suspend the procedural schedule at least five business days prior to the next scheduled deadline in that schedule.

(4) Date certain. The commission will grant continuances only to a specified date.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-385, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-385, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-390 Briefs; oral argument.

The commission may permit or require the parties to a proceeding to present their arguments and authority in support of their positions after the conclusion of any evidentiary hearing. Such a presentation may be in the form of written briefs, oral argument at the close of the hearing, or both.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-390, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-390, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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:

(a) Appearance.

(i) Text must be double-spaced, 12-point type, and in palatino, times new Roman, or an equally legible serif font, with footnotes in the same font and of at least 10-point type;

(ii) Each paragraph must be numbered;

(iii) Margins must be at least one inch from each edge of the page; and

(iv) Any required paper copies must be submitted on three-hole punched, 8 1/2 x 11 inch paper.

(b) Length. Pleadings, motions, and briefs must not exceed sixty pages exclusive of table of contents, table of authorities, signature blocks, exhibits, appended authorities, supporting affidavits or declarations, and other documents. The presiding officer may alter the page limit to accommodate the number and complexity of the disputed issues presented for commission resolution.

(i) Caption. The commission notice initiating an adjudicative proceeding will include a caption that parties must use for all pleadings, motions, and briefs they file in that proceeding. Pleadings that request that the commission initiate an adjudicative proceeding should include a preliminary caption. At the top of the first page must appear the phrase, "BEFORE THE WASHINGTON UTILITIES AND TRANSPORTATION COMMISSION." On the left side of the page, the name of the proceeding must be set out as either "[Name], Complainant, v. [Name], Respondent." for a formal complaint or "In the matter of the [petition, application, etc.] of [Name of the pleading party] for [identify relief sought]." On the right side of the page for all pleadings, the caption must include the docket number if one has been assigned, the name of the party submitting the document, and the name of the document (e.g., staff motion for continuance).

(ii) Body of pleading. A pleading must include the following information:

(A) The pleading party's name and the nature of the pleading, and an initial pleading also must include the contact information as specified in WAC 480-07-360(3) for the party and its representative, if any;

(B) All rules or statutes that the pleading puts in issue;

(C) A statement of facts on which the party relies in a form comparable to complaints in civil actions before the superior courts of this state; and

(D) The relief the pleading party requests.

(iii) Body of motion. A motion must include the following information:

(A) A statement of the specific relief the movant requests that the commission grant or deny;

(B) A succinct statement of the facts that the movant contends are material to the requested remedy;

(D) Any evidence on which the motion is based. If a party relies on declarations, affidavits, deposition transcripts, or documentary evidence, the party must specify those documents, quote the cited material verbatim, and attach a copy of relevant pages to a declaration that identifies and verifies the documents. Parties should highlight or otherwise clearly identify the portions of the cited evidence on which they place substantial reliance.

(iv) Body of brief. Unless excused by the presiding officer, the parties must include in their briefs that exceed ten pages in length a table of contents in outline format. The conclusion of any brief must state the relief the party requests.

(v) Citation to record. Portions of the record relied on or quoted in the body of a brief must be cited using footnotes.

(A) Transcript. Transcript references should be as follows: [witness's surname], TR. [page]:[line(s)]. If the transcript reference spans multiple pages, the reference should be as follows: [witness's surname], TR. [page]:[line] - [page]:[line]. Examples: Smith, TR. 21:5-14; Jones, TR. 356:4 - 357:21.

(B) Exhibits. Exhibits must be marked as required under WAC 480-07-460, and references to those exhibits should be as follows: Exh. [number]. In the case of prefiled testimony offered or received as an exhibit, page numbers, line numbers, and the witness's surname should be added following the style specified in this section for transcript references (e.g., Smith, Exh. ABS-1T at 21:15-17). In other exhibits, references to pages, lines for text, rows and columns for tables, or other specific references may be added in addition to the sponsoring witness's surname, if applicable, to clarify the information cited (e.g., Smith, Exh. ABS-5 at 12, Table 2).

(vi) Citation to authority. Parties must use the citation formats specified in the current edition of the style sheet of the Washington supreme court reporter of decisions. The presiding officer may require parties to file copies of the text of authorities that are cited in parties' briefs and upon which parties place substantial reliance. Unless excused by the presiding officer, parties must include a table of cited authorities, with the full citation of each reference and its location in the brief.

(vii) Attachments or appendices. If a party attaches more than one attachment or appendix to a pleading, the party must separate the body of the brief and each attachment or appendix in any required paper copies with a tabbed blank sheet of paper.

(2) Verification. All pleadings and motions, except complaints brought by the commission or matters raised by the commission on its own motion, must be dated and signed either by a party representative of record in his or her individual name, or by the party, if the party is not represented. Parties that are not represented by an attorney must include a statement in any pleading that the facts asserted in the pleading are true and correct to the best of the signer's belief. Parties that bring complaints under RCW 80.04.110 or 81.04.110 challenging the reasonableness of the rates or charges of utilities the commission regulates must provide additional verification as specified in those statutes.

(3) Errors in pleadings or motions. The commission may return a pleading or motion to a party for correction when the commission finds the pleading or motion to be defective or insufficient. The commission may disregard or correct obvious typographical errors, errors in captions, or errors in spelling of names of parties.

(4) Liberal construction of pleadings and motions. The commission will liberally construe pleadings and motions with a view to effect justice among the parties. The commission will consider pleadings and motions based primarily on the relief they request and will not rely solely on the name of the document. The commission, at every stage of any proceeding, will disregard errors or defects in pleadings, motions, or other documents that do not affect the substantial rights of the parties.

(5) Amendments. The commission may allow amendments to pleadings, motions, or other documents on such terms as promote fair and just results.

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

Wash. Admin. Code § 480-07-400 Discovery.

(1) General.

(a) No limitation on commission authority to audit and inspect. Nothing in this section imposes any limitation on the commission's ability to audit or obtain the books and records of public service companies, or public service companies' obligation to provide information to the commission, whether or not in the context of an adjudicative proceeding.

(b) Informal discovery procedures. Parties in an adjudicative proceeding may agree to informal discovery procedures in addition to, or in place of, the procedures contained in this section.

(i) Party. Any party as defined by WAC 480-07-340.

(ii) Data. As used in this section,data is information of any type, in any form.

(iii) Data request. A party's written request that calls for another party to produce data in connection with an adjudicative proceeding is a data request. Generally, data requests seek one or more of the following: Existing documents; an analysis, compilation, or summary of existing documents into a requested format; a narrative response describing a party's policy, practice, or position; or the admission of a fact asserted by the requesting party. If a party relies on a cost study, model, or proprietary formula or methodology, the party must be willing, on request, to rerun or recalculate the study, model, formula, or methodology based on different inputs and assumptions, subject to the standards in subsection (3) of this section. The commission otherwise will not order a party to respond to a data request that would require creation of new data or documents unless there is a compelling need for such information.

(iv) Bench request. A request for data made by or on behalf of a presiding officer is a bench request.

(2) When discovery available.

(a) Subpoenas always available. Subpoenas are available as a means of discovery as provided in Title 80 or 81 RCW and chapter 34.05 RCW.

(b) When other discovery methods available. If the commission finds that an adjudicative proceeding meets one of the following criteria, the methods of discovery set forth in WAC 480-07-405 through 480-07-415 will be available to parties:

(i) Any proceeding involving a change in the rate levels of a public service company;

(ii) Any complaint proceeding involving claims of discriminatory or anticompetitive conduct, unjust or unreasonable rates, or violations of provisions in Title 80 or 81 RCW; or

(iii) Any proceeding in which the commission, in its discretion, determines that the needs of the case require the methods of discovery specified in this rule.

(3) Scope of discovery. Discovery must seek only information that is relevant to the issues in the adjudicative proceeding or that may lead to the production of information that is relevant. A party may not object to discovery on grounds that the information sought will be inadmissible at the hearing, if that information appears reasonably calculated to lead to discovery of admissible evidence. Parties must not seek discovery that is unreasonably cumulative or duplicative, or is obtainable from some other source that is more convenient, less burdensome, or less expensive. A discovery request is inappropriate when the party seeking discovery has had ample opportunity to obtain the information the party seeks or the discovery is unduly burdensome or expensive, taking into account the needs of the adjudicative proceeding, limitations on the parties' resources, scope of the responding party's interest in the proceeding, and the importance of the issues at stake in the adjudicative proceeding. Discovery through data requests or otherwise must not be used for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the costs of litigation. The commission may impose sanctions for abusive discovery practice.

(4) Schedule. The commission may establish and set forth in a prehearing order a schedule for discovery. Any such schedule will provide deadlines sufficient to allow a timely opportunity for responses and for disputes to be resolved. The presiding officer may impose or modify time limits to the extent necessary to conform to the commission's hearing schedule.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-400, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-400, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-400, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-405 Discovery—Data requests and bench requests.

(1) Grouping and numbering.

(a) Grouping. Parties must group their data requests by subject or witness.

(b) Numbering. Each party must number sequentially its data requests to each other party. Numbering of subsequent data requests to the same party must begin with the number next in sequence following the number of the last previously propounded data request (e.g., if the last data request in an initial set of requests is number 10, the first data request in the next set of requests must be number 11). The presiding officer will ensure that bench requests are adequately described on the record and consecutively numbered.

(2) Service of data requests. A party must serve data requests electronically in native format on the party to whom the requesting party makes the requests, with copies to all other parties. When propounding data requests to other parties, a party must not file those data requests with the commission or copy any person who is presiding or advising the presiding officer.

(3) Motion to compel. A party's motion to compel responses to data requests must include the relevant data request, any objection to the request, and any response to the objection.

(4) Limitation on numbers of data requests. The presiding officer may limit the total number of data requests that a party may propound to another party. Each party must make reasonable efforts to ensure that its data requests do not duplicate other parties' requests. The presiding officer may require parties to coordinate discovery with other parties of similar interest.

(5) Responding party to seek clarification. If a party to whom a data request is propounded finds the meaning or scope of a request unclear, the responding party must immediately contact the requesting party for clarification. Lack of clarity is not a basis for objection to a data request unless the responding party has made a good faith effort to obtain clarification.

(6) Objections; consequence of failure to object.

(a) Data requests. A party must present any objections to a data request to the requesting party in writing by the time the response is due, or at such other time as the presiding officer orders. A party objecting to a data request must state the objection and explain the basis for the objection. A party that fails to interpose a timely objection to providing a full response to a data request waives any right to object for purposes of discovery and must provide a full response. A party that fails to make an objection when responding to data requests does not lose the opportunity to raise an objection at hearing if another party seeks to introduce as evidence all or part of the party's response to a data request.

(b) Bench requests. Any party may object to a bench request made orally during a hearing at the time the presiding officer makes the request. A party may subsequently object in writing to such a bench request within five days after the presiding officer makes the request if the objection is based on facts or law the party did not reasonably know at the time the presiding officer made the request. A party may object to a written bench request within five days after the commission serves the request.

(7) Responses.

(a) Data requests.

(i) Service. Parties must serve responses to data requests electronically on the requesting party and on any other party that requests a copy, consistent with the terms of any protective order entered in the proceeding. Except when designated as exhibits to be offered into the evidentiary record, parties must not file responses to data requests with the commission or copy any person who is presiding or advising the presiding officer when serving those responses. The commission will not receive into evidence responses to data requests unless a party offers the responses into evidence. A party may object to the admission of a response to a data request at the time the response is offered into evidence whether or not the party timely objected to providing the response.

(ii) Timing. A party to whom a data request is directed must provide a full response within ten business days after the request is served. If the responding party cannot provide a full response within ten business days, the responding party must give written notice to the requesting party no later than two business days before the response is due. The notice must state why the responding party cannot comply with the ten-day deadline. The responding party must also provide a schedule by which it will produce the requested data and must explain why the party cannot provide any portion of the data. The presiding officer may modify these time limits.

(iii) Identification of respondent and witness. Each response to a data request must state the date the response is produced, the name of the person who prepared the response, and the name of any witness testifying on behalf of the responding party who is knowledgeable about, and can respond to, questions concerning the response.

(b) Bench requests. Parties must file responses to bench requests with the commission and serve all parties within ten business days after the commission makes the request, unless the presiding officer specifies another deadline. A party may object to a bench request response within five days after filing and service of the response. The commission will receive responses to bench requests in evidence without further process unless a party objects to the response or the commission rejects the response.

(8) Supplementation. Parties must immediately supplement any response to a data request or bench request upon learning that the prior response was incorrect or incomplete when made or upon learning that a response that was correct and complete when made, is no longer correct or complete.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-405, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-405, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-405, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 only if the presiding officer approves the deposition. The presiding officer may approve the deposition of a person who has not been identified as a potential witness on a finding that the person appears to possess information that is necessary to the party's case, the information cannot reasonably be obtained from another source, and the probative value of the information outweighs the burden on the person proposed to be deposed.

(2) Required notice; motion. A party that intends to depose another party's designated potential witness must give notice to the commission and all parties. A party that seeks to depose a person who has not been identified as a potential witness must file a motion requesting permission to depose the person.

(3) How conducted. Parties should use Washington superior court civil rule 30 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 designated potential witnesses who have been scheduled for deposition.

(4) Use of depositions. Parties may use depositions for any lawful purpose, subject to the requirements of this subsection. If a party seeks to offer into evidence the deposition of a potential witness who is available to testify to the matters addressed in that person'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 at least five business days' written notice to other parties and to the presiding officer prior to the hearing session at which the potential witness is expected to appear. The party must attach to the notice the portion(s) of the deposition that the party proposes to offer in the form of exhibits that are marked for identification as required under WAC 480-07-460(3). 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 deponent'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 court reporter delivers the deposition transcript.

(b) Supplementation. Every deponent 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 that was correct and complete when made is no longer correct or complete. Each party is responsible for ensuring compliance with this requirement by deponents who are the party's potential witnesses.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-410, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-410, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-415 Discovery conference.

(1) General. 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 positions or evidence and the availability of supporting information.

(2) Purpose. The purpose of a discovery conference is:

(a) To allow witnesses and others who have knowledge relating to the proceeding (e.g., consultants or employees) to talk directly and informally;

(b) To reduce or avoid the need for written data requests and time for their preparation;

(c) To allow discussions of potential stipulations regarding individual facts and settlement of individual issues to occur in an informal setting;

(d) To discuss the availability of supporting information; and

(e) To enhance the parties' ability to acquire or expand their knowledge about the case of one or more designated other parties.

(3) Statements not evidence. Discovery conferences will not be reported and statements made by participants at discovery conferences are not admissible as evidence unless the parties agree otherwise.

(4) Facilitator. The commission may designate a person to facilitate a discovery conference. The designated facilitator must not be associated with any party or with the commission advisory staff involved in the proceeding.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-415, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-415, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 and development of the factual record in a proceeding when the commission finds that parties reasonably anticipate that discovery or evidentiary filings will require information designated as confidential as defined in WAC 480-07-160 to be disclosed to other parties in the adjudication. Parties must comply with the requirements in the protective order and in WAC 480-07-160 for designating, marking, and filing documents containing information claimed to be confidential. In addition, parties must modify the designation required in WAC 480-07-160 (5)(c)(1) to state, "Shaded information designated as confidential per protective order in Docket (insert docket number)." When submitting the electronic unredacted versions, the provider must state in the description field of the web portal submission, in the subject line of the transmitting email, or on a visible portion of the disc or electronic storage medium, whichever is applicable, that one or more documents in the filing contain information designated as confidential under the protective order.

(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.

(a) Protection for highly confidential information. A party that wishes to designate information as highly confidential must make a motion, orally at the prehearing conference or in writing, for an amendment to the standard protective order, supported by a declaration, testimony, or representations of counsel that set forth the specific factual and legal basis for the requested level of protection and an explanation of why the standard protective order is inadequate. The motion and declaration or testimony must identify specific parties, persons, or categories of persons, if any, to whom a party wishes to restrict access, and state the reasons for such proposed restrictions. If the commission amends its standard protective order to include protections for highly confidential information, parties must comply with the requirements in the protective order and in WAC 480-07-160 for designating, marking, and filing documents containing information designated as highly confidential.

(b) Protection for exempt information. The commission may modify the standard protective order to include protection for exempt information if the commission finds that parties' access to information designated as exempt as defined in WAC 480-07-160 is necessary for development of the factual record in the adjudication. Parties must comply with the requirements in the protective order and in WAC 480-07-160 for designating, marking, and filing documents containing information designated as exempt. In addition, parties must modify the designation required in WAC 480-07-160 (4)(c)(i) to state, "Shaded information designated as exempt per protective order in Docket (insert docket number)." When submitting the electronic unredacted versions, the provider must state in the description field of the web portal submission, in the subject line of the transmitting email, or on a visible portion of the disc or electronic storage medium, whichever is applicable, that one or more documents in the filing contain information designated as exempt under the protective order.

(c) Other information. The commission reserves the right to restrict access to other types of information on a case-by-case basis through the use of a protective order.

(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 order appropriate limitations on discovery including, but not necessarily limited to, one or more of the following:

(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; or

(d) Certain matters may not be inquired into, or the scope of the discovery will be limited to certain matters.

(4) Denial of motion for protective order. 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.

(5) Challenges to designations. The commission or a party to a proceeding may challenge a designation of information as confidential, highly confidential, exempt, or otherwise protected from disclosure pursuant to a protective order. The commission will provide an opportunity for the provider of the information and other interested parties to respond before ruling on any challenge. The provider bears the burden to show that a part or all of the information should be protected from disclosure under the terms of the protective order. The commission may render its ruling orally on the record or in a written order. If the commission sustains the challenge to the designation, the commission will determine how and when the designated information must be disclosed.

(6) Public record request for protected information. If a requester submits a public records request during the pendency of an adjudicative proceeding, including any judicial review, for information that a provider has designated as confidential, highly confidential, exempt, or otherwise protected from disclosure pursuant to a protective order, the commission will review that request pursuant to the procedures in subsection (5) of this section. If a requester submits a public records request after an adjudicative proceeding has concluded, including any judicial review, for information that a provider has designated as confidential, highly confidential, exempt, or otherwise protected from disclosure pursuant to a protective order, the commission will follow the procedures in WAC 480-04-095.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-20-002 (Docket A-130355, General Order R-593), § 480-07-420, filed 9/19/18, effective 10/20/18
WSR 17-06-051 (General Order R-588), § 480-07-420, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-420, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-425 Discovery disputes.

(1) Procedure for resolving disputes.

(a) Informal resolution. 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 parties.

(b) Motion to compel. A party may file a written motion, or move orally at a prehearing conference, to compel discovery if the parties cannot resolve a dispute informally. The presiding officer will hear a motion to compel discovery 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 the commission's discovery rules or an oral or written order resolving a dispute under this section. The commission may impose sanctions for such violations including, but not limited to, default, dismissal, striking of testimony, evidence, or cross-examination, or monetary penalties as provided by law.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-425, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-425, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-430 Prehearing conferences.

(1) General. The commission may require that all parties to, and all persons who seek to intervene in, a proceeding 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) Establishment of a procedural schedule including, but not limited to, the need for, and timing of, prefiled testimony and exhibits;

(d) Disposition of petitions for leave to intervene;

(e) Availability of the commission's discovery rules or resolution of discovery disputes;

(f) Resolution of pending motions;

(g) Entry of a standard or amended protective order to protect confidential or highly confidential information;

(h) Service requirements, including creation of a master service list and disposition of any objections to commission service of orders and notices solely in electronic form; and

(i) 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. 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.

(a) Objections. 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 commission will consider any objections pursuant to the procedures in WAC 480-07-810.

(b) Results. In the absence of a timely objection that the commission sustains, 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-430, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-430, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 at least 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 will 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 the party needs an interpreter and to identify the party's primary language or hearing-impaired status.

(2) Notice of continued hearing sessions. When a hearing is not concluded as scheduled, the time and place for continued hearing sessions may be set:

(a) On the record without further written notice to the parties; or

(b) By letter or formal notice from the presiding officer or the commission secretary.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-440, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-440, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 commission will implement any dismissal or default by a written order. When a party is found in default, the commission's order stating that finding also may dispose of the issues in the proceeding, as provided by RCW 34.05.440.

(2) Review of order of dismissal or default. A party that a presiding officer dismisses from a proceeding or finds 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-450, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-450, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-460 Hearing—Exhibits, exhibit list, and cross-examination estimates.

(1) Filing exhibits in advance. Parties must file and serve exhibits that they intend to submit or use in the evidentiary hearing, including proposed cross-examination exhibits, in advance of the hearing. The commission or the presiding officer will establish by notice or in a prehearing conference order the number of paper copies, if any, and deadlines for filing. In rate increase 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 commission rules.

(a) Changes or corrections.

(i) Substantive changes. Parties must seek leave from the presiding officer by written motion if they wish to file revised prefiled testimony or exhibits that include substantive changes. A party proposing such changes should submit the proposed revisions with its motion.

(ii) Minor corrections. A party may make minor revisions to prefiled testimony and exhibits to correct typographical errors, printing errors, and nonsubstantive changes (e.g., a change in a witness's address or employment) without leave from the presiding officer. Counsel should not ask a witness on the stand to make these corrections, but must submit an errata sheet as provided in subsection (6) of this section.

(iii) Format requirements for revisions. Parties that submit a revised version of any prefiled or previously admitted testimony or exhibits must prominently label the documents as "REVISED" and indicate the date of the revision. The document's exhibit number also must include a lower case "r" at the end of the number using the format described in subsection (2) of this section (e.g., Exh. JQW-5HCTr). The revised portions must be highlighted, in legislative style or other manner that clearly indicates the change from the original submission. The header or footer of each revised page in multiple page testimony or exhibit 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 or offered into evidence, as appropriate.

(b) Timing. A party must file with the commission and serve all other parties with a motion to make substantive changes to any prefiled exhibits as soon as practicable after discovering the need to make that change. A party must file revised exhibits or an errata sheet reflecting minor corrections no later than the deadline for filing errata sheets established in the prehearing conference order.

(c) Distribution at hearing. Upon a showing of good cause for not filing and serving new exhibits, revised exhibits, or errata sheets prior to the hearing, the presiding officer may allow a party to distribute such documents at the hearing. The party must provide sufficient copies of the documents for all parties and for the commission's distribution requirements and must file the document as required in WAC 480-07-145. The presiding officer may refuse to admit into evidence any new or revised exhibits if the failure to provide them prior to the hearing impairs the ability of other parties or the commission to review and examine those exhibits during the hearing.

(2) Prefiled testimony and exhibits.

(a) Exhibit numbers. Parties must mark all written testimony and exhibits in the upper right-hand corner of the first page prior to submission as follows:

(i) State "Exh." followed by the sponsoring witness's initials.

(ii) Place a hyphen after the witness's initials and insert a number, beginning with Arabic numeral 1 for the witness's first prefiled testimony, and sequentially number each subsequent exhibit (including any additional written testimony) throughout the proceeding.

(iii) Place the capital letter "C" immediately 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 (or "HC" if the document includes information asserted to be highly confidential under the protective order).

(iv) Place the capital letter "T" after the number and "C" or "HC," if applicable, 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:

| Testimony or Exhibit | Marked | | --- | --- | | John Q. Witness's prefiled direct testimony | Exh. JQW-1T | | First exhibit to John Q. Witness's prefiled direct testimony (nonconfidential) | Exh. JQW-2 | | Second exhibit to John Q. Witness's prefiled direct testimony (confidential) | Exh. JQW-3C | | Third exhibit to John Q. Witness's prefiled direct testimony (nonconfidential) | Exh. JQW-4 | | John Q. Witness's prefiled rebuttal testimony (with portions marked highly confidential) | Exh. JQW-5HCT | | First exhibit to John Q. Witness's prefiled rebuttal testimony (nonconfidential) | Exh. JQW-6 |

(b) List of exhibits, table of contents, and summary of testimony. The prefiled testimony of each witness must include a list of exhibits that accompany that testimony. Testimony that exceeds ten pages in length must include a table of contents and a short summary at the beginning of the testimony.

(c) Form of testimony and exhibits. All prefiled testimony and exhibits must be paginated, and the lines on each page must be numbered to facilitate transcript or exhibit references. All prefiled testimony and exhibits must be double-spaced and use 12-point type in 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. Documents the party did not create need not conform to these typeface and type size requirements but must be legible. All paper copies of prefiled testimony and exhibits, if required, must be provided on 8 1/2 x 11 inch, three-hole punched paper (oversize holes are preferred). Oversized documents may be used at the hearing for illustrative purposes but paper copies, if required, must be provided on 8 1/2 x 11 inch paper if offered into evidence and reduction to that format is feasible.

(3) Cross-examination exhibits. Each party must file with the commission and serve on the other parties all exhibits the party proposes to use in its cross-examination of witnesses. The presiding officer will establish in a prehearing conference order or notice the number of paper copies, if any, and deadlines for filing.

(a) Exhibit numbers. Parties must mark all cross-examination exhibits in the upper right hand corner of the first page prior to submission as follows:

(i) State "Exh." followed by the initials of the witness the party intends to use the exhibit to cross-examine.

(ii) Place a hyphen after the witness's initials and insert the next number in sequence after the number of the last exhibit sponsored by, or associated with, that witness. If more than two parties are actively participating in a docket, each party should insert an underscored blank space after the initials of a witness who is likely to be cross-examined by more than one party to avoid overlapping numbers with other parties' cross-examination exhibits. The presiding officer will subsequently assign numbers to all cross-examination exhibits for that witness when compiling the exhibit list.

(iii) Place the capital letter "C" immediately after the number (or underscored blank space) if the exhibit includes information asserted to be confidential under any protective order that has been entered in the proceeding (or "HC" if the document includes information asserted to be highly confidential under the protective order).

(iv) Place the capital letter "X" after the number (or underscored blank space), "C," or "HC" whichever is last. For example, if the last exhibit attached to a witness's prefiled testimony is Exh. JQW-7, the first cross-examination exhibit for that witness should be marked "Exh. JQW-8X" (or "Exh. JQW-8CX" if the exhibit includes information designated as confidential).

(b) Format. All cross-examination exhibits must be filed and served electronically in .pdf (adobe acrobat or comparable software) format. The commission may also require the parties to file and serve paper copies of the exhibits.

(c) Organization. Cross-examination exhibits must be segregated, labeled, and grouped according to the witness the party intends to cross-examine with the exhibits. Any paper copies of the exhibits must be organized into sets that are tabbed, labeled, and grouped by witness.

(4) Exhibit lists. Each party must file with the commission and serve on all parties a list of all exhibits the party intends to introduce into the evidentiary record, including all prefiled testimony and exhibits of that party's witnesses and cross-examination exhibits that party has designated for other witnesses. The presiding officer will establish in a prehearing conference order or notice the deadline for this filing.

(5) Cross-examination time estimates. Each party must provide a list of witnesses the party intends to cross-examine at the evidentiary hearing and an estimate of the time that party anticipates the cross-examination of that witness will take. Parties should not file these witness lists or cross-examination time estimates but must provide them in electronic format directly to the presiding administrative law judge and the other parties by the deadline established in a prehearing conference order or notice.

(6) Errata. Each party must file with the commission and serve on all parties a list of any corrections or revisions to its witnesses' prefiled testimony and exhibits. Each correction or revision must be identified separately by exhibit number, page, and line (or row, column, cell, etc., as applicable) and must specify the text to be revised, added, or deleted. The presiding officer will establish in a prehearing conference order or notice the deadlines for this filing.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-460, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-460, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-460, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

(1) Starting times. The presiding officer will strictly observe starting times. The proceeding may go forward in the absence of counsel, parties, or witnesses who are late. Counsel may advise the bench by message to the records center when an emergency prevents timely arrival.

(2) Appearances. The presiding officer conducting the hearing or prehearing conference will require appearances to be stated orally at the initial prehearing or hearing session, and may also ask for oral appearances at subsequent sessions in the same proceeding, so that all persons attending the hearing will know the identity and interest of all parties present. If the representative has previously filed a notice of appearance or otherwise provided full contact information in a pleading filed in the docket, oral appearances shall consist of the representative's name, law firm, organization, or government entity if any, and the party the person represents. Oral appearance at hearing does not substitute for the requirement for written notice of appearance in WAC 480-07-345(2).

(3) Matters to be handled at beginning of session. Parties must notify the presiding officer no later than the start of the hearing session of any motion that a party anticipates may be presented during the hearing, such as one that may require foundation regarding the admissibility of evidence. The presiding officer will give the parties an appropriate opportunity to state and argue any motions related to evidence or to the procedural course of the hearing.

(4) Evidence; exhibits; stipulations of fact. The presiding officer may receive evidence as provided by RCW 34.05.452.

(5) Order of presentation. Evidence will ordinarily be received in the following order:

(a) Party having the burden of proof;

(b) Parties supporting the party having the burden of proof; and

The presiding officer may direct a modified order of presentation considering the needs of the parties, the commission, the proceeding, and the parties' preferences.

(6) Testimony under oath. The presiding officer will administer an oath or affirmation to each witness before the witness testifies in an adjudicative proceeding. When members of the public testify, they will be sworn in the same fashion as other witnesses.

(7) Addressing the presiding officer or witnesses. All counsel and other party representatives, including parties that are not represented, must address all comments, objections, and statements on the record to the presiding officer and not to other counsel or parties. Questions on the record that concern the substance of testimony or exhibits sponsored by a witness must be addressed to the witness and not to counsel or other parties.

(8) Resolving matters off the record. Counsel or other party representatives who request to have discussions with the presiding officer off the record must ask leave to go off the record and state the purpose for the request. Extended colloquies regarding procedural issues may be conducted off the record, but will be summarized for the record by the presiding officer subject to comments from party representatives.

(9) Witness panels. The commission may direct or allow two or more witnesses to take the stand simultaneously when doing so allows a benefit, such as the integrated response to a line of questions, minimizing referral of questions from one witness to another, or comparing witnesses' positions. The presiding officer will also allow cross-examination of each witness upon matters within the witness's direct evidence.

(10) Cross-examination. The presiding officer will limit cross-examination to one round unless good cause exists for allowing additional questions. Witnesses must not be asked to perform detailed calculations or extract detailed data while on the stand. Any such questions must be provided to the witness at least two business days prior to the date the witness is expected to testify, must ask the witness to provide the answer for the record later in the hearing session, or must provide an answer and ask the witness to accept it "subject to check." Witnesses must not be asked to accept information subject to check if the information is included in a prefiled exhibit or testimony, or is already in evidence. When a witness accepts information subject to check, the witness must perform the check as soon as practicable. A response given subject to check will be considered accurate unless:

(a) The witness subsequently testifies during the hearing that the witness does not accept the information subject to check and explains the reasons for that position; or

(b) Within five business days following the date of receipt of the hearing transcript, the party sponsoring the witness files and serves a declaration from the witness stating that the witness does not accept the information subject to check and explaining the reasons for that position. Any such declaration must be limited to the information subject to check and may not expand, revise, or otherwise modify the witness's testimony.

(11) Redirect examination. A party whose witness has been cross-examined may conduct redirect examination of the witness on issues raised during cross-examination or examination by the presiding officer, if applicable.

(12) Transcript. Each party will bear its own costs for transcripts or tape recordings, including charges for expedited service when a party requests it. To protect valuable commercial information unique to the court reporter's work product or services and for which the court reporter charges a fee for copies, the commission will not post on its website or provide to any parties a copy of the transcript of an evidentiary hearing until after post-hearing briefing has concluded.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-470, filed 2/28/17, effective 3/31/17
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-470, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-470, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

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

Wash. Admin. Code § 480-07-490 Hearing—Exhibits and documentary evidence.

(1) Designation of part of document as evidence. A party that offers only a portion of a document for admission into the evidentiary record must designate that portion as a separate exhibit. If irrelevant matter included in the original document would unnecessarily encumber the record, the presiding officer may admit only the offered portion into evidence but will allow other parties to offer other portions.

(2) Government records. A party may offer into evidence an official document prepared and issued by any governmental authority that is not publicly available or readily accessible by all parties in the form of a certified copy.

(3) Objections. Any evidence offered is subject to appropriate and timely objection. The presiding officer need not specifically ask each party 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-490, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-490, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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. If the presiding officer excludes the evidence from the record, the presiding officer may provide the party offering that evidence with the opportunity to make an oral or written offer of proof briefly describing the nature and purpose of the evidence for subsequent review of the presiding officer's ruling.

(2) Official notice.

(a) The commission may take official notice of:

(i) Any judicially cognizable fact, examples of which include, but are not limited to, the following:

(A) Rules, regulations, interpretive and policy statements, 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;

(iii) Codes or standards that have been adopted by an agency of the United States or a state, or by a nationally recognized organization or association; and

(iv) Records contained in government websites or publications or in nationally recognized reporting service publications that are in general circulation and readily accessible to all parties.

(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 documents or information of which the commission takes official notice and the source of that information. The presiding officer will afford parties an opportunity to contest facts and material of which the commission takes official notice. The presiding officer may require a party proposing that the commission take official notice of a document or information to provide copies of that document or information for the record and to all other parties.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-495, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-495, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-498 Hearing—Public comment.

(1) General. The commission will receive as a bench exhibit any public comment 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 receive into evidence documents a member of the public presents that are exceptional in their probative value after the commission provides the parties an opportunity to respond to those documents.

(2) Public comment hearing. 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, a 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 who 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. Typically, public witnesses may expect to have three to five minutes to make an oral statement. A public witness may supplement his or her oral statements with written comments signed by the witness.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 17-06-051 (General Order R-588), § 480-07-498, filed 2/28/17, effective 3/31/17
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-498, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-500 General rate proceedings—Statement of policy.

(1) Scope of this subpart. This subpart explains the special requirements for certain filings to change rates charged by electric, natural gas, pipeline, telecommunications, and water companies, low-level radioactive waste sites, solid waste collection companies, and commercial ferries, and marine pilotage services.

(2) Inconsistencies with subpart A requirements. If there is any inconsistency between the requirements in subpart B of these rules 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 of general rate proceedings.

(4) Failure to comply. The commission, pursuant to WAC 480-07-141, may reject, or require the company to revise, any filing to initiate a general rate proceeding that does not conform to the requirements of subpart B of these rules. The commission will provide a written statement of its reasons if it rejects a filing. The company may revise or refile a filing that remedies the noncompliance the commission has identified and otherwise fully complies with the rules consistent with the requirements in WAC 480-07-141(2), which governs the date on which the commission considers a filing to have been made.

(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 or 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.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.116.020, and 81.116.900. WSR 19-11-012 (Docket TP-180402, General Order R-596), § 480-07-500, filed 5/3/19, effective 6/3/19. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-500, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-500, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-505 General rate proceedings—Definition—Tariff suspension.

(1) Filings that initiate general rate proceedings. Except as otherwise provided in this rule or RCW 80.04.130 (2)(a) (governing rate decreases for telecommunications companies), the commission will initiate a general rate proceeding in response to a filing by any public service company identified in WAC 480-07-500 requesting to change its rates if that filing meets any of the following criteria:

(a) The rates a company requests would alter its gross annual revenue from activities the commission regulates 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 collection company regulated under chapter 81.77 RCW.

(e) Any petition filed by a person with a substantial interest to change the rates, charges, or rules of a marine pilotage services tariff.

(2) Filings under Title 80 RCW that will not initiate general rate proceedings. The commission generally will not initiate general rate proceedings in response to the following filings, even though the revenue the company requests may vary by three percent or more from the company's current gross annual revenue from Washington regulated operations:

(a) Periodic rate adjustments the commission has generally authorized for electric and natural gas companies (e.g., power cost adjustments, purchased gas cost adjustments, or decoupling adjustments);

(b) Emergency or other rate increases a company requests on short notice as a result of disasters, adverse weather, or other causes beyond the company's control that unexpectedly and substantially increase a public service company's expenses; or

(c) Rate changes designed to recover only the costs a company incurs to comply with government actions that directly impact the company's costs to provide regulated service (e.g., changes to tax laws or local fees) or to comply with federal or state rules concerning the level of rates for telecommunications companies.

(3) Filings under chapter 81.77 RCW that will not initiate general rate proceedings. The commission generally will not initiate general rate proceedings in response to the following filings by solid waste collection 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:

(i) That provide specialized hauling services restricted to certain specific waste products that are limited to specific customers; or

(ii) That provide only on-call or nonscheduled service (i.e., Class C companies, as defined in WAC 480-70-041).

(b) Filings seeking only to pass through a change in fees unilaterally established and imposed by governmental or unaffiliated private entities, including disposal, recycling, yard waste, or processing fees, or to pass through changes to fees charged by affiliated entities if the public service company demonstrates that the total cost of transfer, transport, and fees at the affiliate's facilities is equal to or lower than other reasonable and currently available alternatives;

(c) Filings for rate changes designed to recover only the costs a company incurs to comply with government actions that directly impact the company's costs to provide regulated service (e.g., changes to state or local fees, charges, or taxes directly related to the collection or disposal of solid waste);

(d) Filings implementing new solid waste collection programs; or

(e) Filings for periodic rate adjustments through a cost adjustment mechanism the commission has generally authorized for solid waste collection companies (e.g., fuel or recycling commodity adjustments).

(4) Filings under chapter 81.116 RCW that will not initiate general rate proceedings. The following filings are not considered general rate proceedings for pilotage services regulated under chapter 81.116 RCW:

(a) Filings by a countywide port district located in part or in whole within the Grays Harbor pilotage district, as defined by RCW 88.16.050 that meets the filing requirements in RCW 53.08.390;

(b) Filings to fund the stipend the board of pilotage commissioners is authorized to pay to pilot trainees and to use in its pilot training program under RCW 88.16.035;

(c) Filings to reflect any automatic periodic or annual adjustment to pilotage rates previously established and approved by the commission in a general rate proceeding;

(d) Any filing to collect by a countywide port district the cost of the commission for setting tariff rates; and

(e) Any filing to collect tariff surcharges authorized by the legislature or rate changes designed to recover only the costs to comply with government actions that directly impact the costs to provide regulated pilotage services.

(5) Commission discretion. The commission retains discretion to determine whether to initiate a general rate proceeding in response to any filing described in this section or to convert any rate proceeding to a general rate proceeding, following notice and an opportunity to comment, if the commission finds that such action is consistent with the public interest. The commission may require that any filing or proposal by a public service company to change rates for any customer class, or to restructure rates, be subject to the procedures and protections in subpart B of these rules.

(6) Suspension of tariffs. The commission may take action at a regularly scheduled open public meeting to suspend the tariff sheets included in any filing that seeks to change rates. A company may waive its right to commission consideration of the filing at an open meeting and request immediate suspension of the tariffs, either in the cover letter accompanying the filing or in a subsequent document. If commission staff confirms that the filing is complete and complies with the applicable rules in subpart B of these rules, the commission may enter a complaint and order suspending the tariffs without further process. The company and statutory parties may engage in discovery pursuant to WAC 480-07-400 through 480-07-415 after the commission issues a notice of prehearing conference prior to the commission entering a prehearing conference order.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.116.020, and 81.116.900. WSR 19-11-012 (Docket TP-180402, General Order R-596), § 480-07-505, filed 5/3/19, effective 6/3/19. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-505, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-505, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-510 General rate proceeding filings—Electric, natural gas, pipeline, and Class A telecommunications companies.

General rate proceeding filings by electric, natural gas, pipeline, and Class A telecommunications companies as defined in WAC 480-120-034 must include the information described in this section. The company and all parties to an adjudication in a general rate proceeding must file all required documents in electronic form consistent with the requirements in WAC 480-07-140 and by the next business day must file five paper copies of all testimony and exhibits unless the commission establishes a different number. If an exhibit is a database, spreadsheet, or model, the paper copy of that exhibit may simply reference or describe its contents if printing the entirety of the database, spreadsheet, or model would result in a document exceeding five pages and would render the data, spreadsheet cells, or model unusable. The party, however, must submit a complete electronic version of the database, spreadsheet, or model, with all information, formulae, and functionality intact, as part of the party's electronic filing.

(1) Testimony and exhibits. The company's initial filing and any supplemental filings the commission authorizes must include all testimony and exhibits the company intends to present as its direct case. The company must serve a copy of the initial filing on the public counsel unit of the Washington state attorney general's office at the time the company makes the filing with the commission if the proceeding is the type in which public counsel generally appears or has appeared in the past. The filing must include a results-of-operations statement showing test year actual results and any restating and pro forma adjustments in columnar format that support the company's general rate request. The company must identify each restating and pro forma adjustment and the effect of that adjustment on the company's operations and revenue requirement. The testimony must include a written description of each proposed restating and pro forma adjustment describing the reason, theory, and calculation of the adjustment.

(2) Tariff sheets. The company's initial filing must include the company's proposed new or revised tariff sheets in legislative format (i.e., with strike-through to indicate the material to be deleted or replaced and underlining to indicate the material to be inserted) consistent with the requirements in WAC 480-80-105, as well as copies of any tariff sheets that are referenced in the new or amended tariff sheets.

(3) Detailed support for proposals.

(a) General. The company must include in its initial testimony and exhibits, including those addressing accounting adjustments, sufficient detail, calculations, information, and descriptions necessary to meet its burden of proof. Any party responding to the company's proposal also must include in that party's testimony and exhibits sufficient detail, calculations, information, and descriptions necessary to support its filed case.

(b) Capital structure and rate of return. The company must include in testimony and exhibits a detailed description of the development of any capital structure and rate of return proposals. Any other party that files testimony or exhibits that propose revisions to the company's current capital structure or authorized rate of return also must provide similar detailed information in testimony and exhibits supporting its proposal.

(c) Restating and pro forma adjustments. Each party that proposes restating or pro forma adjustments must include in its testimony and exhibits a detailed portrayal of the restating and pro forma adjustments the party uses to support its proposal or position. That portrayal must specify all relevant assumptions and include specific references to charts of accounts, financial reports, studies, and all similar records on which the party relies. Testimony and exhibits must include support for, and calculations showing, the derivation of each input number used in the detailed portrayal, as well as the derivation of all interstate and multiservice allocation factors.

(i) Restating adjustments adjust the booked operating results for any defects or infirmities in actual recorded results of operations that can distort test period earnings. Restating adjustments are also used to adjust from an as-recorded basis to a basis that the commission accepts for determining rates. Restating adjustments must be calculated based on the unadjusted test year operating results, not on another party's adjustments. The commission may refuse to consider any adjustment that is not calculated consistent with this requirement. Nonexclusive examples of restating adjustments are adjustments that:

(A) Remove prior period amounts;

(B) Eliminate below-the-line items that were recorded as operating expenses in error;

(D) Annualize ongoing costs that the company began to incur part way through the test year;

(E) Normalize weather or hydro conditions; or

(F) Eliminate or 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 company and any other party filing testimony and exhibits proposing pro forma adjustments must identify dollar values and underlying reasons for each proposed pro forma adjustment. Pro forma adjustments must be calculated based on the restated operating results. Pro forma fixed and variable power costs, net of power sales, may be calculated directly based either on test year normalized demand and energy load, or on the future rate year demand and energy load factored back to test year loads.

(iii) If a party proposes to calculate an adjustment in a manner different than the method the commission most recently accepted or authorized for the company, the party must also include in testimony and exhibits the rationale for, and documents that demonstrate, how that adjustment would be calculated under the methodology previously accepted by the commission and must explain the reason for the proposed change. Commission approval of a settlement does not constitute commission acceptance of any underlying methodology unless the commission so states in the order approving the settlement.

(d) Revenue sources. The company must include in testimony and exhibits a detailed portrayal of revenue from regulated sources, by source, during the test year and the changes that would result in those revenues if the commission approves the company's request, including an explanation of how the resulting changes were derived.

(e) Achievement of rate of return. The company must demonstrate in testimony and exhibits why the company has not achieved its authorized rate of return and what actions the company has taken prior to and during the test year to improve its earnings in addition to its request for increased rates. If the company has not taken any such actions, the company must explain why it has not.

(f) Rate base and results of operations. The company's testimony and exhibits must include a representation of the company's actual rate base and results of operations during the test period, calculated in the same manner the commission used to calculate the revenue requirement in the final order in the company's most recent general rate proceeding.

(g) Affiliate and subsidiary transactions. The company's testimony and exhibits must supplement, as necessary, the annual affiliate and subsidiary transaction reports required in rules governing reporting for the applicable industry to include all such transactions during the test period. The company must identify all affiliate and subsidiary transactions that materially affect the proposed rates. The company must support the allocation method the company used to distribute common costs between regulated and nonregulated affiliated entities and the dollar amount of those costs.

(h) Electronic documents and confidentiality. Electronic files must be fully functional and include all formulas and linked spreadsheet files. Electronic files that support exhibits must use logical file paths, as necessary, by witness and must use identifying file names consistent with the naming requirements in WAC 480-07-140. A party may file a document with locked, hidden, or password protected cells only if such restricted access is necessary to protect the information within the cells that is not subject to public disclosure. The party must identify each locked, hidden, or password protected cell and must designate such cells, as well as any other information the party contends is confidential under RCW 80.04.095 or otherwise protected from public disclosure, in compliance with the requirements in WAC 480-07-160 and any applicable protective order. The party must make such information accessible to all persons who have signed the protective order or are otherwise entitled to access the information including, but not necessarily limited to, commission staff and public counsel. Redacted versions of models or spreadsheets that contain information that is designated as confidential or highly confidential or otherwise protected from public disclosure must be in .pdf format (using Adobe Acrobat or comparable software) and must mask the information protected from public disclosure as required in WAC 480-07-160.

(i) Referenced documents. If a party's testimony or exhibits refer to a document including, but not limited to, a report, study, analysis, survey, article, or court or agency decision, the party's testimony and exhibits must include that document except as provided below:

(i) A party may include an official citation or internet Uniform Resource Locator (URL) to a commission order or to a court opinion or other state or federal agency decision, rather than the document itself, if that decision is reported in a generally accepted publication (e.g., Washington Reports Second (Wn.2d), Public Utility Reports (P.U.R.), etc.) or if the document is readily available on the website of the agency that entered that decision;

(ii) A party may include only the relevant excerpts of a voluminous document if the party also provides a publicly accessible internet URL to the entire document or describes the omitted portions of the document and their content and makes those portions available to the other parties and the commission upon request; and

(iii) A party is not required to file or distribute materials subject to third-party copyright protection but must describe those materials and their content and make them available for inspection upon request by the parties and the commission.

(4) Work papers.

(a) General. Work papers are documents that support the technical aspects of a party's testimony and exhibits. Work papers may include, but are not limited to, calculations, data analysis and raw data. Work papers are not a part of a party's direct case. Within five business days after each party files and serves its testimony and exhibits, the party also must provide to all other parties the work papers on which each of its witnesses relied when preparing testimony and exhibits. All work papers must comply with the requirements of this subsection.

(b) Organization. Work papers must be plainly identified and well organized, with different documents or sections separated by or into tabs, and must include an index. All work papers must be cross-referenced and include a description of the cross-referencing methodology.

(c) Any work papers provided to other parties must comply with requirements governing electronic documents and confidentiality in subsection (3)(h) and referenced documents in subsection (3)(i) of this section.

(d) Filing designated work papers with the commission. If the commission determines that it needs information in addition to a party's testimony and exhibits, the commission may issue a bench request for designated portions of that party's work papers. The commission will receive into evidence the work papers a party provides in response to a bench request unless the commission rejects that response, either in response to an objection or on the commission's own motion, as provided in WAC 480-07-405 (7)(b). The commission will not rely on any other work papers as the basis for any finding of fact or conclusion of law in the proceeding unless the commission formally admits such work papers into the evidentiary record.

(5) Summary document.

(a) Contents. The company must include in its initial filing a document that summarizes the information in this subsection (5)(a) on an annualized basis, if applicable, and must itemize revenues from any temporary, interim, periodic, or other noncontinuing tariffs. The company must include in its rate change percentage and revenue change calculations any revenues from proposed general rate change tariffs that would supersede revenue from noncontinuing tariffs. The summary document must include:

(i) The date and amount of the last general rate change the commission authorized for the company and the revenue the company realized from that change during the test period based on the company's test period units of sale (e.g., kilowatt hours, therms, etc.);

(ii) Total revenues the company is realizing at its present rates and the total revenues the company would realize at the requested rates;

(iii) Requested revenue change in percentage, in total and by major customer class;

(iv) Requested revenue change in dollars, in total and by major customer class;

(v) The representative effect of the request in dollars for the average monthly use per customer, by customer class or other similar meaningful representation, including, but not limited to, the effect of the proposed rate change in dollars per month on residential customers by usage categories;

(vi) Most current customer count, by major customer class;

(vii) Current authorized overall rate of return and authorized rate of return on common equity;

(viii) Actual rate of return and actual rate of return on common equity for the test period;

(ix) Requested overall rate of return and requested rate of return on common equity, and the method or methods used to calculate the requested rates of return;

(x) Requested capital structure;

(xi) Requested net operating income;

(xii) Requested rate base and method of calculation, or equivalent; and

(xiii) Revenue effect of any requested attrition allowance.

(b) Required service.

(i) Persons to receive service. The company must serve the summary document on the persons designated below on the same date it files the summary document with the commission:

(A) The public counsel unit of the Washington state attorney general's office;

(B) All intervenors on the commission's master service list for the company's most recent general rate proceeding;

(C) All intervenors on the master service list for any other rate proceeding involving the company during the five years prior to the company's filing, if the company's rate change request may affect the rates established or considered in that prior proceeding; and

(D) All persons who have informed the company in writing that they wish to be provided with the summary document required under this section.

(ii) Cover letter. The company must enclose a cover letter with the summary document stating that the company's prefiled testimony and exhibits, and the accompanying work papers, are available from the company on request, subject to any restrictions on information that is protected from public disclosure, if the company is not serving them along with the summary document.

(iii) Limitation. This service requirement does not create a right to service or notice of future filings in the proceeding to the persons named to receive the summary. Any person other than commission staff and public counsel who wishes to be served documents subsequently filed in the general rate proceeding must petition to intervene in that proceeding.

(6) Cost of service studies. The initial filing must include a cost of service study that complies with chapter 480-85 WAC.

(7) Additional documents. The company's initial filing must include the following documents or an internet URL for each of these documents:

(a) The company's most recent annual report to shareholders, if any, and any subsequent quarterly reports to shareholders;

(b) The company's most recent FERC Form 1 and FERC Form 2 for electric and natural gas companies; and

(c) The company's Form 10K's, Form 10Q's, any prospectuses for any issuances of securities, and quarterly reports to stockholders, if any, for the most recent two years prior to the rate change request.

History

Statutory Authority: RCW 80.01.040, 80.04.160, and chapter 80.28 RCW. WSR 20-15-024 (Docket UE-170002 and UG-170003, General Order R-599), § 480-07-510, filed 7/7/20, effective 8/7/20. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-510, filed 8/29/18, effective 9/29/18
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-510, filed 8/22/08, effective 9/22/08
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-510, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-510, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-520 General rate proceeding filings—Solid waste collection companies and commercial ferries.

General rate proceeding filings by solid waste collection companies or commercial ferries must include the information described in this rule. The company must file all required documents in electronic form consistent with the requirements in WAC 480-07-140. A solid waste collection company may file a document with locked, hidden, or password protected cells only if such restricted access is necessary to protect the information within the cells that is not subject to public disclosure. The solid waste collection company must identify each locked, hidden, or password protected cell and must designate such cells, as well as any other information the party contends is confidential under RCW 81.77.210 or otherwise protected from disclosure, in compliance with the requirements in WAC 480-07-160 and any applicable protective order. The solid waste collection company must make such information accessible to all persons who have signed the protective order or are otherwise entitled to access the information including, but not necessarily limited to, commission staff. A commercial ferry company may not file a document with locked, hidden, or password protected cells.

(1) Proposed tariff. The company's initial filing must include the company's proposed tariff sheets. Sections that are narrative, e.g., that contain rules or notes, must be in legislative format, i.e., with strike-through to indicate any material to be deleted or replaced and underlining to indicate any material to be inserted. Changes to tariff sections that are tabular, e.g., charts containing rates and charges, must be marked with appropriate tariff symbols consistent with the requirements in WAC 480-70-286.

(2) Local government ordinances and customer notices. The company's initial filing must include a copy of every local government ordinance related to the request in compliance with WAC 480-70-326, and a copy of the customer notices issued in compliance with the provisions of WAC 480-70-271.

(3) Transmittal letter. The company's initial filing must include a transmittal letter in compliance with WAC 480-70-326.

(4) Work papers. The company's initial filing must include all work papers that support the company's rate change request. Work papers must include the following:

(a) A detailed pro forma income statement separated by customer class, with restating and pro forma adjustments, reflected in separate columns, including all supporting calculations and documentation for all adjustments.

(i) Restating adjustments adjust the booked operating results for any defects or infirmities in actual recorded results of operations that can distort test period earnings. Restating adjustments are also used to adjust from an as-recorded basis to a basis that the commission accepts for determining rates. Examples of restating 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 company's initial filing must identify dollar values and underlying reasons for each proposed pro forma adjustment.

(iii) Restating and pro forma adjustments must be calculated as the variance from the booked operating results.

(b) A calculation of the total revenues the company is realizing at its present rates and the total revenues the company would realize at the requested rates.

(c) An income statement listing all revenue and expense accounts by month or a supporting general ledger for the test period.

(d) If nonregulated revenue represents more than ten percent of total company test period revenue, a detailed separation of all revenue and expenses between regulated and nonregulated operations.

(e) A detailed list of all nonregulated operations. The company must provide copies of all contracts upon request.

(f) A detailed study that reconciles service pickups or passenger counts, as applicable, to the test year revenue by tariff item or service. The computed revenue must reconcile within five percent of test period revenue.

(g) A consolidated balance sheet for the company with supporting documentation including, but not limited to, detailed cost of debt and a list of all real property and vehicle leases to which the company is a party.

(h) A detailed calculation of net investment in plant and equipment and the net book value of used and useful assets at the end of the test period.

(i) A detailed depreciation schedule listing all used and useful assets the regulated entity that operates under the tariff for which the company files the rate request held during the test period, including the date of purchase, the cost at purchase, the depreciable life, the salvage value, depreciation expense, and accumulated depreciation expense at the end of the test period.

(j) Information about every transaction with an affiliated interest or subsidiary that directly or indirectly affects the proposed rates, including a full description of the relationship, the 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.

(5) Annual report. The company's initial filing must include the company's most recent consolidated annual report to shareholders, if any.

(6) Interim rates. The commission may grant interim rates subject to refund when considering proposed changes to tariffs requested by solid waste collection companies under RCW 81.28.050. Interim rates subject to refund granted pursuant to this section shall be limited to those companies that demonstrate, after a brief adjudicative proceeding or limited hearing, an emergency, undue hardship, or inequity. If a solid waste collection company requests interim rate relief, the commission will consider the request on an expedited schedule.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-520, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-520, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-520, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-525 General rate proceedings—Marine pilotage services in Puget Sound.

General rate proceeding filings for marine pilotage services must include the information described in this section. The commission may reject a filing that fails to meet these minimum requirements, without prejudice to a petitioner's right to refile its request in conformance with this section.

(1) Testimony and exhibits. When the filing is suspended and a hearing scheduled the petitioner must file with the commission one paper copy and an electronic copy for all testimony and exhibits that the petitioner intends to present as its direct case. The electronic copy of all filed material must be in the format identified in WAC 480-07-140(6). The commission may require the petitioner to file additional paper copies if the commission suspends and conducts a hearing on the filing.

(2) Proposed tariff. Proposed tariff sheets must be filed in electronic form supplemented by one paper copy. The proposed tariff sheets should be in legislative format (i.e., with strike-through to indicate the material to be deleted or replaced and underlining to indicate the material to be inserted) consistent with the requirements in WAC 480-160-110 through 480-160-140, as well as copies of any tariff sheets that are referenced in the new or amended tariff sheets. The electronic copy must be submitted in the format identified in WAC 480-07-140(6).

(3) Cover letter. A cover letter prepared in compliance with the provisions of WAC 480-07-140.

(4) Work papers. One paper and one electronic copy of all supporting work papers for the test period, which is the most recent twelve-month period for which financial data are available. The electronic copy must be submitted in the format identified in WAC 480-07-140(6). Work papers reflecting the test year must include:

(a) Schedule of fixed or long-term assets.

(b) Computation of revenue requirement for the rate effective year.

(d) An income statement with restating actual and pro forma adjustments, including all supporting calculations and documentation for all adjustments. The filing must identify dollar values and underlying reasons for each restating actual and pro forma adjustment.

(e) A calculation of the revenue impact of the proposed tariff revisions.

(f) An income statement listing all revenue and expense accounts by month.

(g) If nonregulated revenue represents more than ten percent of total test period revenue, a detailed separation of all revenue and expenses between regulated and nonregulated operations.

(h) A detailed list of all nonregulated operations, including the rates charged for the services rendered. Copies of all contracts must be provided on request.

(i) Schedule reconciling, within five percent, rates and charges:

(i) Earned during the test year to actual reported revenues; and

(ii) Expected to be earned during the rate year to computed revenue requirement.

(j) At the time the petitioner makes its general rate case filing, the petitioner must provide to commission staff one paper and one electronic copy of all supporting work papers of each witness in a format as described in this subsection. When the filing is suspended and a hearing scheduled, if the testimony, exhibits, or work papers refer to a document including, but not limited to, a report, study, analysis, survey, article or decision, that document must be included as a work paper unless it is a reported court or agency decision, in which case the reporter citation must be provided in the testimony. If a referenced document is voluminous, it need not be provided, but the petitioner must identify clearly the materials that are omitted and their content. Omitted materials must be provided or made available if requested by the commission.

(k) Organization. Work papers must be plainly identified and well organized, and must include an index and tabs. All work papers must be cross referenced and include a description of the cross referencing methodology.

(l) Electronic documents. Parties must provide all electronic files supporting their witnesses' work papers. The electronic files must be fully functional and include all formulas and linked spreadsheet files. Electronic files that support the exhibits and work papers must be provided using logical file paths, as necessary, by witness, and using identifying file names.

(m) Projected changes in vessel assignments and a detailed portrayal of vessel assignments for the previous twelve months along with the associated tariff and fees charged to vessel operators for pilotage services as required in chapter 480-160 WAC.

(n) The number of pilots licensed in the pilotage district. At a minimum, work papers must provide the board of pilotage commissioners' determination pursuant to WAC 363-116-065(2).

(o) The known increases or decreases in state fees and taxes.

(p) Normalized annual costs of any major capital investment or other recurring expenses.

(q) Revenues generated by tariff and fees for the test period, and any restating or pro forma adjustments based on available projected vessel assignments, vessel type, vessel tonnage, routes, number of pilots or other tariff-based billing determinates.

(r) Necessary tariff surcharge to fund the stipend the board of pilotage commissioners is authorized to pay to pilot trainees and to use in its pilot training program under RCW 88.16.035.

(s) Change in methodologies for adjustments. If a party proposes to calculate an adjustment in a manner different from the method that the commission most recently accepted or authorized for the petitioner, it must also present a work paper demonstrating how the adjustment would be calculated under the methodology previously accepted by the commission, and a brief narrative describing the change. Commission approval of a settlement does not constitute commission acceptance of any underlying methodology unless so specified in the order approving the settlement.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.116.020, and 81.116.900. WSR 19-11-012 (Docket TP-180402, General Order R-596), § 480-07-525, filed 5/3/19, effective 6/3/19.

Wash. Admin. Code § 480-07-530 General rate proceeding filings—Water companies and Class B telecommunications companies.

General rate proceeding filings by water companies and Class B telecommunication companies as defined in WAC 480-120-034 must include the information described in this section. The company must file all required documents in electronic form consistent with the requirements in WAC 480-07-140. A party may file a document with locked, hidden, or password protected cells only if such restricted access is necessary to protect the information within the cells from public disclosure. The party must identify each locked, hidden, or password protected cell and must designate such cells, as well as any other information the party contends is confidential under RCW 80.04.095 or otherwise protected from public disclosure, in compliance with the requirements in WAC 480-07-160 and any applicable protective order. The party must make such information accessible to all persons who have signed the protective order or are otherwise entitled to access the information including, but not necessarily limited to, commission staff. The filing must include the following:

(1) Cover letter. The cover letter must:

(a) Provide a description of the filing and the requested rate change in understandable terms;

(i) Explain any technical terms and otherwise use common terms to describe the filing so the public can easily understand its impact;

(ii) Define any acronyms before they are used in the text of the letter;

(b) State why the company is requesting a rate change (e.g., to recover higher costs for water testing);

(c) Describe each service that the filing impacts 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 company's initial filing must include the company's proposed tariff sheets. Sections that are narrative, e.g., that contain rules or notes, must be in legislative format, i.e., with strike-through to indicate any material to be deleted or replaced and underlining to indicate any material to be inserted. Changes to tariff sections that are tabular, e.g., charts containing rates and charges, must be marked with appropriate tariff symbols consistent with the requirements in WAC 480-80-105.

(3) Customer notice. A copy of the notice the company mailed to customers.

(4) Work papers. Work papers must support the company's rate change request and, at a minimum, must include the following:

(a) A calculation of the total revenues the company is realizing at its present rates and the total revenues the company would realize at the requested rates by each class affected.

(b) A balance sheet and statement of revenues and expenses.

(d) A schedule showing any adjustments proposed to the statement of revenues and expenses, including any restating adjustments or pro forma adjustments, and the effect of any adjustments on the proposed rates.

(e) An explanation of all restating adjustments 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 on which the company relied in preparing its initial filing.

(i) Restating adjustments adjust the booked operating results for any defects or infirmities in actual recorded results, which can distort test period earnings. Restating adjustments are also used to adjust from an as-recorded basis to a basis that the commission accepts for determining rates. Examples of restating 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 work papers must identify dollar values and underlying reasons for each proposed pro forma adjustment.

(iii) Restating and pro forma adjustments must be calculated as the variance from the booked operating results.

(f) Usage or other statistics verifying test year revenues and proposed revenues.

(g) For water companies, the public water system identification number the Washington department of health has assigned for each system that the new rates will affect.

(h) A 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, including a full description of the relationship, the 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-530, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-530, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-540 General rate proceedings—Burden of proof.

Public service companies and the petitioner seeking to establish or modify tariff rates for marine pilotage services bear the burden of proof in the general rate proceedings described 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 or petitioner's initial filing and any supplemental filings the commission authorized to be the company's or petitioner's full direct case in support of its rate change request for purposes of deciding any prehearing motion to dismiss under WAC 480-07-380.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.116.020, and 81.116.900. WSR 19-11-012 (Docket TP-180402, General Order R-596), § 480-07-540, filed 5/3/19, effective 6/3/19. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-540, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-540, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

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

Wash. Admin. Code § 480-07-610 Brief adjudicative proceedings.

(1) When permitted. The commission may use brief adjudicative proceedings under RCW 34.05.482 when:

(a) Such proceedings are consistent with other provisions of law;

(b) Protection of the public interest does not require the commission to give notice and an opportunity to participate to persons other than the parties;

(c) Discovery and prefiled written testimony are not necessary to provide the commission with sufficient evidence to render a determination; and

(d) The commission believes that the issues presented can best be resolved through a brief adjudication 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) Challenges to commission notices of intent to deny, in whole or in part, applications for authority 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 that do not require notice and an opportunity to participate to persons other than the parties and the commission can best resolve in a brief adjudication including, but not limited to, complaints the commission initiates to determine whether a company is providing service subject to commission regulation without commission authority;

(e) Contested penalty assessments under RCW 80.04.405, 81.04.405, or 19.122.150, or consideration of requests for mitigation of the penalty;

(f) Applications for authority to provide auto transportation service to which a company properly objects; and

(g) Requests by solid waste collection companies pursuant to WAC 480-07-520(6) for interim rates subject to refund.

(3) Initiating a brief adjudication. The director of the administrative law division will determine whether the commission will initiate a brief adjudicative proceeding.

(a) The commission may set a matter for brief adjudication on its own initiative.

(b) Except as otherwise provided in this section, any person may file a petition requesting that the commission commence a brief adjudicative proceeding.

(i) The petition must describe the issues the petitioner seeks to have the commission resolve, the petitioner's position on those issues, and the reasons why a brief adjudicative proceeding would be appropriate to resolve those issues. The petitioner must serve the petition on all other identified or necessary parties and must file a certificate of service with the petition.

(ii) Any identified or necessary party that opposes the petition may file a response within ten days after service of the petition stating the reasons why a brief adjudicative proceeding would not be appropriate to resolve the issues identified in the petition.

(iii) If the commission initiates a brief adjudication, it will issue a notice of the time and place for the proceeding. A decision denying the petition will be in writing, and the petitioner may seek commission review of that decision pursuant to the procedure for requesting review of initial orders in WAC 480-07-825.

(c) Any person requesting a hearing or commission review of orders or letters suspending or canceling a permit for failure to maintain evidence of required insurance coverage or other specified circumstances must submit that request in writing within fourteen days after the commission posts the order or letter on its website. The director of the administrative law division will determine whether the commission will initiate a brief adjudication in response to the request or if an administrative law judge will enter a decision based on the information provided in the request and commission staff's response. The requestor may seek commission review of any such decision pursuant to the procedure for requesting review of initial orders in WAC 480-07-825.

(4) Assignment of presiding officer. If the commission sets a matter for a brief adjudication, the commission will designate a person to serve as a presiding officer consistent with the requirements of RCW 34.05.485.

(5) Hearing.

(a) Notice and nature of proceeding. The commission will serve on the parties a notice of the time and place for the brief adjudicative proceeding at least seven days before the proceeding. That notice or a subsequent procedural order will specify how the commission will conduct the proceeding. The parties may offer written exhibits for inclusion in the record and may make oral statements in support of their positions. The presiding officer also may permit parties to present one or more witnesses to testify in support of their positions subject to cross-examination by the other party.

(b) Exhibits. Each party must file with the commission and serve on the other parties all exhibits the party proposes to introduce into the record. The presiding officer may refuse to admit into the evidentiary record any exhibits not provided in advance of the hearing. The notice of brief adjudicative proceeding or subsequent procedural order will establish the deadlines for filing these exhibits.

(i) Exhibit numbers. Parties must mark all exhibits in the upper right-hand corner of the first page prior to submission as follows:

(A) State "Exh." followed by the initials of the witness who will sponsor the exhibit or the name of the party if no witness will sponsor the exhibit.

(B) Place a hyphen after the witness's initials or party name and insert the number of the exhibit. For example, the first exhibit commission staff designates either would be marked "Exh. Staff-1" or if sponsored by staff witness John Q. Witness, would be marked "Exh. JQW-1"; the second exhibit would be marked either "Exh. Staff-2" or "Exh. JQW-2," etc.

(C) Place the capital letter "C" immediately after the number of the exhibit if the exhibit includes information designated as confidential under WAC 480-07-160. Place the capital letters "HC" immediately after the number of the exhibit if the exhibit includes information designated as highly confidential under WAC 480-07-160 and a protective order.

(ii) Format. Any exhibit in the form of a spreadsheet that displays results of calculations based on formulas must be filed and served electronically in its native Excel format in compliance with WAC 480-07-140 (6)(a)(ii). All other exhibits must be filed and served electronically in searchable .pdf (Adobe Acrobat or comparable software) format.

(iii) Organization. Each exhibit must be a separate document (i.e., multiple exhibits must not be scanned into a single document), and each document must be labeled with the exhibit name. Any paper copies of the exhibits that the presiding officer requires must be organized into sets that are tabbed, labeled, and grouped by witness, if any.

(c) Exhibit and witness lists. Each party must file with the commission and serve on all parties a list of all exhibits the party intends to offer for admission into the record. If the presiding officer permits parties to present witness testimony, each party also must provide a list of all witnesses the party intends to present at the hearing and a brief summary of the testimony each witness will give. The notice of brief adjudicative proceeding or a subsequent procedural order will establish the deadline for filing exhibit and witness lists.

(d) Testimony. The presiding officer may refuse to permit a witness to testify if the witness is not on the witness list. The presiding officer also may refuse to hear proposed testimony if it would not be relevant to the issues to be addressed in the proceeding or would be cumulative of the testimony to be offered by another witness. The presiding officer may limit a witness's testimony to the subjects identified in the summary the party provides prior to the hearing.

(6) Initial order.

(a) The presiding officer may enter a decision orally and make a brief statement of the reasons for the decision at the conclusion of the hearing. The presiding officer will then enter an initial order more fully explaining that decision in writing within ten days after the date of the hearing.

(b) The presiding officer may take the matter under advisement at the conclusion of the hearing and enter a written initial order that addresses the issues raised in the proceeding within ten days after the date of the brief adjudication. The presiding officer may extend this deadline for good cause.

(7) Review of initial orders.

(a) Timing. Any party may petition for review of an initial order within twenty-one days after service of the order. The commission also may review an initial order on its own motion.

(b) Format for petition for review. The commission strongly prefers petitions for review to be in writing so parties will have the greatest opportunity to state reasons for their views, but the commission will accept oral petitions for review as authorized in RCW 34.05.488 and this rule. A party's request for review of an initial order must identify the errors the party alleges in the order and must provide an explanation of the reasons why the party contends that the initial order is incorrect. The petitioning party must serve its written petition on all parties when it submits the petition to the commission for filing. A party orally requesting review must make that request in the presence of all parties, the presiding officer, and a court reporter.

(c) Response. Any party may file and serve a written response to an oral or written petition for review within seven days after the petitioning party makes its oral request for review or serves the written petition unless the commission establishes a different deadline.

(8) Final order on review. The commission may adopt, modify, or reject the initial order or may remand the initial order for further proceedings. The final order on review will be in writing and will include a brief statement of the reasons for the decision. The commission will enter the final order within twenty days after the deadline for requesting review of the initial order. The order will include a notice of any further available administrative review or, if none is available, a notice that judicial review may be available.

(9) Finality of initial order. The initial order becomes the commission's final order by operation of law under either of the following conditions:

(a) No party timely seeks administrative review of the initial order, and the commission does not initiate review on its own motion; or

(b) The commission does not enter a final order in response to a petition for administrative review within twenty days after the deadline for requesting review, unless all parties and the commission agree to waive the date by which the commission must enter a final order.

(10) Record. The record in a brief adjudicative proceeding consists of any exhibits the presiding officer admits into the record, the transcript of the hearing, and any other documents regarding the matter that the presiding officer considered for the brief adjudicative proceeding or that the commission considered in any review of an initial order. The commission's record need not constitute the exclusive basis for action, unless otherwise required by law.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-610, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-610, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-620 Emergency adjudicative proceedings.

(1) When permitted. The commission may conduct an emergency adjudicative proceeding pursuant to RCW 34.05.479 in any situation involving an immediate danger to the public health, safety, or welfare requiring immediate commission action within the commission's jurisdiction.

(2) Complaint. If time permits, the commission or a complainant must prepare a complaint and serve it on the respondent using a method that best provides actual notice of the adjudication.

(3) Who presides. The commissioners will sit as presiding officers, hear the matter, and enter an order if a majority of the commissioners are available. Any available commissioner will sit as presiding officer, hear the matter, and enter an initial order if a majority of the commissioners is not available. The director of the commission's administrative law division will assign an administrative law judge either to sit as a presiding officer with the commissioner(s), or if no commissioner is available, to preside alone, hear the matter, and enter an initial order.

(4) Record and decision. The official record will include any written submissions of the parties, any testimony or oral comments by the parties the presiding officer allows, and any other documents regarding the matter that the commission considers. The commission's record need not constitute the exclusive basis for action unless otherwise required by law.

(5) Emergency order. The commission will take only such action as is necessary to prevent or avoid the immediate danger to the public health, safety, or welfare that justifies use of emergency adjudication. The presiding officer will enter an emergency order as soon as practicable under the circumstances. The order will include a brief statement of findings of fact, conclusions of law, and justification for the determination of an immediate danger to the public health, safety, or welfare. The order is effective when entered.

(6) Post-order process. After entering an emergency order under this section, the commission will proceed as quickly as feasible to complete any proceedings that would be required if the matter did not involve an immediate danger to the public health, safety, or welfare, and will enter a final order.

(7) Review or reconsideration of emergency order. Any party to an emergency adjudicative proceeding may seek immediate review by the full commission in the case of any order entered by a single commissioner or by an administrative law judge. In the case of any order entered by a majority of the commissioners, any party may seek reconsideration. If a party requests review or reconsideration, the commission will establish appropriate process to complete its review or reconsideration within ten business days of the date of any petition for review or reconsideration. A party seeking review or reconsideration is not automatically entitled to a stay of the emergency order.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-620, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-620, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-620, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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. Secs. 251 and 252.

(2) Nature of the proceeding. Arbitrations that the commission conducts pursuant to 47 U.S.C. Sec. 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 unit of the office of the Washington state 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. Sec. 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 a party requests arbitration.

(b) Filing. Parties must file petitions for arbitration under 47 U.S.C. Sec. 252 (b)(2) as provided for other petitions under WAC 480-07-370(3), 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 petitioner files the petition with the commission.

(5) Contents of petition and documentation. A petition for arbitration under this section must:

(a) State the date on which the local exchange carrier received the original request for negotiation, and the dates one hundred thirty-five days and one hundred sixty days after that receipt;

(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 petitioner requests be imposed;

(e) Recommend any information that the arbitrator should request from the parties pursuant to 47 U.S.C. Sec. 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. Secs. 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 on which the petitioner relies to support its positions or that it intends to introduce as exhibits at the hearing.

(6) Filing and service of a response 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 the respondent wishes within twenty-five days after the petitioner files the petition.

(b) Filing. Responses to petitions for arbitration under 47 U.S.C. Sec. 252 (b)(2) must be filed with the commission in the manner provided for responses to other petitions under WAC 480-07-370(3) 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 response and all accompanying documentation on the same day that the respondent files the response with the commission.

(7) Contents of response and required documentation. A response 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 incumbent local exchange carrier 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 respondent requests be imposed;

(f) Be accompanied by all relevant documentation including:

(i) A current draft of the interconnection agreement, if available and different from any draft agreement the petitioner submitted with the petition, with all agreed provisions in standard typeface and all unresolved issues in bold typeface;

(iii) Any other documents relevant to the dispute, including copies of all documents on which the respondent relies to support its positions or that it intends to introduce as exhibits at the hearing.

(8) Verification. The petition, response, 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, responses, and any documents a party provides to the commission pursuant to a request under 47 U.S.C. Sec. 252 (b)(4)(B) are subject to Washington's public disclosure laws, including chapter 42.56 RCW and RCW 80.04.095. Confidential information submitted with a petition for arbitration or response 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. Sec. 252 (b)(4)(B). Parties may submit to the arbitrator any discovery requests to which a party has not responded 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. Sec. 252 (b)(4)(B) at any time.

(11) Appointment and authority of arbitrator.

(a) Appointment. The commission will appoint one or more commissioners, one or more commission employees, or one or more persons under contract with the commission to act as arbitrator(s) to resolve a petition for arbitration. 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 appointment 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 the arbitrator may not consult with a staff member who has acted as a mediator with respect to the same interconnection agreement between the same parties. The arbitrator will issue the arbitrator's report within one hundred ten days after the date on which the petitioner filed the petition for arbitration. The arbitrator's report satisfies the commission's responsibility to resolve the disputed issues under 47 U.S.C. Sec. 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-630, filed 8/29/18, effective 9/29/18
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-630, filed 8/22/08, effective 9/22/08
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-630, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 47 U.S.C. Sec. 252.

(2) Commission review and approval of agreements.

(a) Filing and service of agreements.

(i) Negotiated agreements. Parties to a negotiated interconnection agreement must file a complete, signed copy of their agreement to the commission for approval under 47 U.S.C. Sec. 252(e) within thirty days after they sign the agreement. The parties must include any appendices or attachments to the agreement. The request for approval must summarize the agreement's main provisions and 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. Sec. 252 do not begin until a complete request is properly filed.

(ii) Arbitrated agreements—Petition for review; response. Any party may petition for commission review of an arbitrator's report and decision within thirty days after the commission issues the arbitrator's report, or at such other time as is established by notice or order. Other parties to the arbitration proceeding may file a response within ten days after the petitioner serves the petition, or at such other time as the commission establishes by notice or order. Both petition and response 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 commission should or should not modify the arbitrator's report and decision.

(iii) Arbitrated agreements—Request for approval. The parties must also file, on the date established for responding to 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 47 U.S.C. Sec. 252(i), 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 and 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 the parties to refile the request when it is complete. The timelines established for commission review of requests for approval do not begin until the parties file a complete request.

(iv) Adopted agreements. If a company adopts an interconnection agreement in its entirety that the commission has previously approved, the parties to the adopted agreement must notify the commission of the adoption within thirty days after they sign the adopted agreement. The commission will include the adopted agreement on the no-action portion of a regularly scheduled open meeting agenda. In the absence of an objection, the commission will allow the agreement to become effective according to its terms.

(b) Commission consideration of requests for approval and petitions for review.

(i) Negotiated agreements. The commission delegates authority to the commission secretary to approve or reject a fully negotiated interconnection agreement. The commission will approve or reject a fully negotiated agreement within ninety days after the date on which the parties file the agreement and request for approval.

(ii) Arbitrated agreements. The commission will consider any petition for review of an arbitrator's report and decision using the same procedures in WAC 480-07-825 for review of an initial order. The commission will enter an order approving or rejecting a partially or fully arbitrated agreement within thirty days after the parties file the agreement and request for approval.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-640, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-640, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-650 Petitions for enforcement of telecommunications company interconnection agreements.

The purpose of this rule is to provide a speedy and enforceable means to resolve disputes when one party to an interconnection agreement contends that the other party is violating the terms of the agreement.

(1) Petitions for enforcement. A telecommunications company that is a party to an interconnection agreement with another telecommunications company may petition under this rule for enforcement of the agreement.

(a) What the petition must contain. Each petition for enforcement must contain the following elements:

(i) A statement, including specific facts, demonstrating that the petitioner engaged in good faith negotiations to resolve the disagreement, and that despite those negotiations the parties failed to resolve the issue.

(ii) A copy of the provision of the interconnection agreement that the petitioner contends the other party is violating.

(iii) A description of facts demonstrating failure to comply with the agreement. One or more affidavits, declarations, or other sworn statements, made by persons having personal knowledge of the relevant facts must support the description.

(b) How to serve the petition. The petitioner must serve the petition for enforcement electronically on the responding party on the same day the petitioner files the petition with the commission. For purposes of this section, the petitioner must serve:

(i) The responding party's authorized representative, attorney of record, or designated agent for service of process;

(ii) The responding party's representatives with whom the petitioner conducted the negotiations addressed in (a)(i) of this subsection; and

(iii) All parties designated in the interconnection agreement to receive notices.

(c) Prefiling notice of petition. The petitioner must give at least ten days' written notice to the respondent that the petitioner intends to file a petition for enforcement. The notice must identify each specific provision of the agreement that the petitioner alleges the other party violated, and the exact behavior or failure to act that petitioner alleges violates the agreement. The petitioner must serve the written notice as provided in (b) of this subsection. The petitioner must include a copy of this notice with its petition for enforcement. The written notice shall be valid for thirty days from the date of service. If the petitioner wishes to file a petition for enforcement after the thirty-day period, the petitioner must serve another notice to the respondent at least ten days prior to filing the petition.

(2) Responding to a petition. The respondent may respond to the petition. The respondent waives the opportunity to present any matter that is not raised in the response except as provided under subsection (3) of this section.

(a) Contents of theresponse. The response to a petition for enforcement must respond to each allegation of failure to comply with the terms of the interconnection agreement, stating relevant facts. The respondent must support any facts on which it relies by affidavits, declarations, or other sworn statements by persons having personal knowledge of the facts.

(b) Filing and service of the response. The respondent must file the response with the commission and serve it electronically on the petitioner within five business days after the petitioner serves the petition for enforcement.

(3) Amendment of petition and response. The presiding officer may permit the respondent to amend its response for good cause shown, and to avoid substantial prejudice to the respondent for which the respondent is not responsible. The presiding officer may permit either party to amend its petition or response to conform to the evidence presented during the proceeding. The presiding officer may refer to, but is not bound by, Washington superior court civil rule 15(b) when determining whether to permit amendment of the petition or answer to conform to the evidence.

(4) Prehearing conference. The commission will conduct a prehearing conference regarding a petition for enforcement of an interconnection agreement.

(a) Schedule; mandatory attendance. The presiding officer will issue a notice of a prehearing conference within five business days after the petitioner files the petition. Both the petitioner and the respondent must attend the prehearing conference. The prehearing conference may be conducted by telephone.

(b) Procedural determination. The presiding officer will determine at the prehearing conference whether the commission can resolve the disputed issues raised in the petition by relying only on the pleadings, filings, and any oral statements without further proceedings. When determining whether to schedule an oral enforcement hearing session, the presiding officer will consider the following: (i) The parties' preferences and the reasons they advance; (ii) the need to clarify statements by asking questions; (iii) whether the issues are largely factual, largely legal, or involve questions of fact and law; (iv) the apparent complexity of facts and issues; (v) the need for speedy resolution; and (vi) the completeness of information presented. The presiding officer may require the parties to file written briefs on the issues.

(c) Means of obtaining additional information. If the presiding officer determines that further proceedings are necessary, the presiding officer will establish a schedule for receiving additional facts or evidence and may schedule an enforcement hearing session to explore the facts and issues raised in the petition and the response. Either party may request that the commission make its discovery rules available, stating the matters into which the party seeks to inquire and their relationship to matters directly at issue. The presiding officer may allow limited discovery requiring only the disclosure of facts relating directly to matters at issue, and only if the requesting party shows that discovery is essential. The presiding officer will establish a shortened discovery schedule to comply with the timelines of this rule.

(5) Powers of the presiding officer; conversion of proceeding; initial or final order.

(a) Conduct of proceeding. The presiding officer has broad discretion to conduct the proceeding in a manner that best suits the nature of the petition including, but not limited to, converting the proceeding into a complaint proceeding under RCW 80.04.110. Matters may be appropriate for conversion when: (i) Their complexity requires that they cannot be completed on the schedule provided in this rule; (ii) the petitioner requires discovery beyond a disclosure of facts directly related to the matters at issue; (iii) extensive policy argument or legal briefing is required; or (iv) participation by parties other than the petitioner and the respondent is necessary. The presiding officer may limit the record to written filings or may schedule an enforcement hearing. The presiding officer may limit the number of exhibits and witnesses and the time for their presentation.

(b) Initial order. The presiding officer, if other than the commissioners, will enter an initial order resolving the petition within seventy-five days of the date the petitioner submitted the petition, or twenty-one days after the last hearing session or filing, whichever is later. If the commissioners preside over the enforcement proceeding, they may enter a final order within the time requirements applicable to initial orders.

(c) Commission review. Any party may file a petition for administrative review of the initial order within seven days after the commission enters the order. The opposing party may file a response within five days after the petitioner files a petition for review.

(6) Commission decision on petition for enforcement. The commission will enter its final order on the petition for enforcement no later than ninety days after the date the petitioner filed the petition or thirty days after a party files a petition for review of an initial order, whichever is later. The commission may extend this time for good cause.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-650, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-650, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-650, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-660 Railroad grade-crossing closures.

The commission may grant a petition to close a railroad grade crossing without a hearing unless the commission receives an objection to the proposed closure within twenty days after providing notice of the petition as required in RCW 81.53.060.

(1) Objections. An objection to a petition to close a railroad grade crossing must be in writing and must:

(a) Identify the person or persons who object by full name, mailing address, telephone number, and email address;

(b) Identify the particular crossing that is the subject of the objection;

(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) Parties. Only parties may fully participate in any proceeding the commission conducts to determine whether to grant a contested petition for a railroad grade crossing closure. A person other than the petitioner and commission staff who wishes to participate as a party including, but not limited to, a person filing an objection to the closure, must petition to intervene prior to or at the initial prehearing conference or first hearing session, whichever is earlier, as prescribed in WAC 480-07-340.

(3) Interested persons. The commission will provide interested persons who are not parties with an opportunity to comment on the issues in the proceeding and offer evidence, as required by RCW 81.53.060. Such interested persons, however, may not call witnesses, cross-examine witnesses, or otherwise participate as a party at the hearing and do not have standing to file petitions for administrative review of initial orders or to file petitions for reconsideration of final orders.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-660, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-660, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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. Alternative dispute resolution (ADR) includes any mechanism to resolve disagreements, in whole or in part, without contested hearings.

(1) No delegation of commission authority. The commission cannot delegate to parties the power to make final decisions in any adjudicative proceeding. The commission will determine whether to approve and adopt any proposed settlement or other agreement and the extent to which it resolves some or all of the issues presented in the proceeding consistent with the public interest.

(2) Pilot training program stipend. Any proposed settlement or agreement for pilotage rates must include the necessary tariff surcharge to fund the stipend the board of pilotage commissioners is authorized to pay to pilot trainees and to use in its pilot training program under RCW 88.16.035.

(3) Commission fee to set pilotage service rates. The parties to any proposed settlement or agreement for pilotage rates must allow for the commission to apply its reasonable fee for setting rates for marine pilotage services.

(4) Forms of ADR. The commission provides the following nonexclusive forms of ADR:

(a) Voluntary negotiation. Parties to a dispute that is within the commission's jurisdiction may agree to negotiate with any other parties at any time without commission oversight.

(b) Commission-directed negotiation. The commission may direct parties to meet or consult as provided in subsection (5) of this section, or may establish or approve a collaborative process as provided in WAC 480-07-720.

(c) Mediation. The commission may assign commission staff trained in ADR principles and techniques to serve as neutral third parties (e.g., mediator or facilitator) to assist the parties in formal or informal mediation.

(d) Assignment of settlement judge. The commission may assign a settlement judge to assist the parties to resolve their dispute through negotiation in appropriate circumstances.

(e) Arbitration. The commission may provide an arbitrator whose decision is subject to commission review in matters for which arbitration is authorized.

(5) Settlement conference. A settlement conference is any discussion or other communication between two or more parties in an adjudicative proceeding intended to resolve one or more disputed issues. Settlement conferences do not include requests for information, for clarification, or in aid of discovery, or communications to identify whether a dispute exists or whether another party is willing to negotiate resolution of a disputed issue. Settlement conferences must be informal and without prejudice to the rights of the parties. The parties may waive the procedural requirements of this section relating to settlement conferences if all parties and the commission agree. Any party and any person who has filed a petition to intervene may participate in an initial or early settlement conference as defined in this section. An intervenor's participation in a settlement conference is limited to the interests supporting its intervention, except by agreement of other participants in the conference. No party is required to attend a settlement conference, but any party that attends and participates must make a good faith effort to resolve one or more disputed issues in which the party has a substantial interest.

(a) Initial settlement conference. The commission will include in the procedural schedule for each adjudicative proceeding the date for at least one settlement conference. Parties may reschedule a settlement conference included in the procedural schedule without seeking to modify the schedule if all parties agree, but the parties must provide notice to the presiding officer of the rescheduled date.

(b) Early settlement conference. Any party may initiate a settlement conference with any other party after the commission opens a docket and before the initial prehearing conference, but in general rate proceedings for electric, natural gas, or Class A telecommunications companies, the party initiating the settlement conference must provide ten days prior notice of any such conference to the commission, any statutory party, any person who has submitted a petition to intervene or notice of appearance, and any person who was a party in the most recent proceeding of the same type involving the same filing party and respondent, if any. Such persons may participate in the early settlement conference, as may any other person who submits a petition to intervene prior to the early settlement conference.

(6) Settlement negotiation guidelines. In any settlement negotiation, including collaboratives, settlement conferences, and mediations, the following apply unless all participants agree otherwise:

(a) No statement, admission, or offer of settlement made during negotiations is admissible in evidence in any formal hearing before the commission without the consent of the participants or unless necessary to address the process of the negotiations;

(b) Information exchanged exclusively within the context of settlement negotiations will be treated as confidential and will be privileged against disclosure to the extent permitted by law;

(c) Participants in a commission-sanctioned ADR process must periodically advise any nonparticipating parties and the commission of any substantial progress made toward settlement and must immediately advise the commission if that process is without substantial prospects of resolving the issue or issues under discussion (i.e., if the participants agree that they are at an impasse or any neutral third party who is assisting the participants in the ADR process declares an impasse); and

(d) Any mediator, facilitator, or settlement judge who assists the participants in an ADR process will not participate in any adjudication, arbitration, or approval process for the same proceeding unless all parties consent in writing.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.116.020, and 81.116.900. WSR 19-11-012 (Docket TP-180402, General Order R-596), § 480-07-700, filed 5/3/19, effective 6/3/19. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-700, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-700, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-700, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 also implements the mediation provisions of the Telecommunications Act of 1996, 47 U.S.C. Secs. 251 and 252.

(2) Commission participation. The parties to a negotiation may ask the commission to mediate any differences that arise during the negotiation. A request for mediation must include a brief statement of the nature of the dispute and the names, postal and email addresses, and telephone numbers of the parties and their representatives. Copies of the request must be served on all parties to the negotiation. All parties are required to participate in good faith if the commission agrees to mediate.

(3) Mediators. The commission may assign a qualified employee to serve as a mediator. The commission may require the parties to retain the services of a professional mediator acceptable to all parties.

(4) Process. Mediators have discretion to regulate the course of the mediation, including scheduling mediation sessions, in consultation with the parties. The following general procedures apply:

(a) The mediator may not impose a settlement but may offer proposals for settlement;

(b) The mediator may meet individually with the parties or attorneys during mediation;

(c) Only the parties to the negotiation and the mediator may attend the mediation session(s), unless all parties and the mediator consent to the presence of others;

(d) Parties must provide the mediator with a brief statement of position and relevant background information prior to the first mediation session;

(e) The mediator may ask for supplemental information;

(f) The mediator may not provide legal advice to the parties, nor are any mediator's stated opinions as to law or policy binding on the commission unless the commission subsequently adopts them;

(g) The mediation process is confidential and the information exchanged is privileged to the extent permitted by law; and

(h) No stenographic or electronic record will be made.

(5) Fees and costs. Each party must bear its own costs for the mediation. Each party must pay any fees imposed by commission rule or statute.

(6) Notice to commission. Parties must advise the commission if they reach a full, partial, or multiparty settlement. The commission will review the settlement consistent with the requirements of WAC 480-07-640 or 480-07-740, as applicable.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-710, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-710, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-710, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-720 Collaboratives.

(1) Definition. 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 that the commission assigns or the collaborative participants identify.

(2) Establishment. The commission may establish a collaborative on its own initiative or in response to a petition. A petition seeking to establish a collaborative must state the issues on which the petitioner seeks consensus, identify potential participants, and explain why a collaborative would be beneficial to resolve the issues. The commission, in its discretion, may approve the petition and establish a collaborative or may deny the petition.

(3) Participation. Any person whose interests may be substantially affected by the result of the collaborative may participate in the collaborative. Once the commission establishes a collaborative, the participants may not change the participants or redefine the issues they will address without commission approval.

(4) Communication with commission. Collaborative participants must agree on the form and substance of any communication they have with the commission concerning the collaborative. The participants may communicate with the commission through commission staff if staff is not a participant and is serving as a neutral third party in the collaborative, and staff should establish if this will be its role at the outset of the collaborative. Otherwise, the participants should address their communications to the commission secretary.

(5) Conclusion. The participants must inform the commission when they: (a) Have reached consensus on the issues to be addressed in the collaborative; (b) have reached partial consensus on those issues and believe further negotiation would not be fruitful; or (c) have reached an impasse and believe that further negotiations would not be fruitful. The participants should propose any commission action they recommend as a result of the collaborative.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-720, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-720, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-730 Settlement.

A settlement is an agreement among two or more parties to a commission adjudication that resolves one or more disputed issues in that proceeding. All settlements must be documented in a written settlement agreement that the parties file with the commission as a proposed resolution of those issues. No settlement is effective unless and until the commission approves it.

(1) Full settlement. A full settlement is an agreement of all parties that would resolve all disputed issues in an adjudication.

(2) Partial settlement. A partial settlement is an agreement of all parties on some, but not all, of the disputed issues in an adjudication. The parties may litigate the disputed issues the agreement does not resolve.

(3) Multiparty settlement. A multiparty settlement is an agreement among some, but not all, parties in an adjudication to resolve one or more disputed issues.

(a) Full multiparty settlement. A full multiparty settlement is an agreement among some, but not all, parties to resolve all disputed issues between them. The parties that are not included in the settlement agreement have the rights set forth in WAC 480-07-740 (3)(c).

(b) Partial multiparty settlement. A partial multiparty settlement is an agreement among some, but not all, parties to resolve some, but not all, disputed issues between them. The parties may litigate the disputed issues the agreement does not resolve. The parties that are not included in the settlement agreement also have the rights set forth in WAC 480-07-740 (3)(c).

(4) Notice to commission. When submitting any type of settlement agreement for commission approval, parties must advise the commission if they have reached a full, partial, full multiparty, or partial multiparty settlement.

(5) Settlement agreement contents. A settlement agreement must describe the dispute between the parties and set forth the terms and conditions to which the parties have agreed to resolve that dispute.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-730, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-730, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-730, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-740 Settlement consideration procedure.

The commission will review all settlement agreements to determine whether they comply with applicable legal requirements and whether approval of the agreements is consistent with the public interest.

(1) General. The timing and content of any settlement agreement submitted to the commission must afford the commission a reasonable opportunity to:

(a) Review the terms of the settlement;

(b) Consider evidence and argument from all parties on why the commission should or should not approve and adopt the settlement;

(d) Enter an order prior to the recommended effective date of a settlement agreement and any statutory deadline by which the commission must take action in the proceeding; and

(e) Review and approve any required compliance filing.

(2) Specific timing requirements.

(a) Complex proceedings. In general rate proceedings for electric, natural gas, and Class A telecommunications companies or matters of comparable complexity, parties must submit a settlement agreement and supporting documentation to the commission at least sixty days prior to any statutory deadline for commission action or 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 submit a settlement agreement and supporting documentation to the commission at least thirty days prior to any statutory deadline for commission action or requested effective date for any tariff changes or other terms and conditions of the settlement.

(c) Notice to commission. Parties should inform the presiding administrative law judge as soon as they reach a settlement in principle and request that the commission suspend the procedural schedule or make other arrangements for filing and review of the parties' settlement agreement after the parties have executed it. In the cover letter accompanying the filing of a settlement agreement with the commission, the parties should highlight any time-sensitive provisions in that agreement.

(d) Statutory deadline. Upon receiving a request to suspend the procedural schedule for commission consideration of a settlement agreement in general rate proceedings or other proceedings in which a statute requires final commission action within a specified time period, the commission may require the party that submitted the suspended tariff or other initial filing at issue to inform the commission whether the party would be willing to extend the statutory deadline, if necessary, to add the amount of time the commission requires to consider the settlement and take final action in the proceeding. The commission may decline to consider a settlement agreement if the commission determines that it cannot consider the settlement and take final action in the proceeding by the statutory deadline.

(e) Hearing. The commission will conduct a hearing if the commission believes that a hearing will assist the commission to decide whether to approve and adopt the settlement.

(f) Requested effective date. The commission will endeavor to render a decision on the settlement prior to the parties' requested effective date if the parties submit the settlement agreement in compliance with this section, but the commission cannot guarantee that it will be able to do so.

(3) Settlement presentation. When submitting a settlement agreement for commission approval, the settling parties must include supporting documentation sufficient to demonstrate that the settlement is consistent with the law and the public interest.

(a) Supporting documentation. The supporting documentation must describe the disputed issue(s) and proposed resolution and must include or reference sufficient evidence to support commission approval and adoption of the settlement agreement under applicable law consistent with the public interest. The documentation may be in the form of a brief, supporting prefiled testimony, or other form that serves the same functions. Documentation supporting a settlement agreement in a general rate proceeding or other complex proceeding must include prefiled testimony.

(b) Testimony. Each party to a settlement agreement must offer to present one or more witnesses to testify in support of the settlement agreement and to answer questions concerning the agreement's details, costs, and benefits. If the commission conducts a hearing on the settlement, counsel for each party must be prepared to make a brief presentation and address any legal matters associated with the settlement agreement. Each party's witness(es) must be available to respond to questions from the bench and cross-examination by counsel for any party that opposes the settlement.

(c) Rights of parties opposed to a settlement. Parties opposed to the commission's approval and adoption of a settlement retain the following rights:

(i) The right to cross-examine witnesses supporting the settlement;

(ii) The right to present evidence in support of their opposition to the settlement;

(iii) The right to present argument in opposition to the settlement; and

(iv) The right to present evidence, or in the commission's discretion an offer of proof, in support of their position on how the commission should resolve the disputed issues in the proceeding.

(d) Discovery. The presiding officer may allow discovery on the proposed settlement.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-740, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-740, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-750 Commission discretion to consider and approve or reject a settlement.

(1) Consideration of a settlement. The commission will decide whether to consider a settlement. The commission generally will consider a settlement that complies with the requirements in WAC 480-07-740.

(2) Approval or rejection of a settlement. If it considers a settlement, the commission may approve the settlement, with or without conditions, or may reject it. The commission will approve a settlement if it is lawful, supported by an appropriate record, and consistent with the public interest in light of all the information available to the commission.

(a) Approval without conditions. If the commission approves a settlement without conditions, the commission will adopt the terms set forth in the settlement agreement as the resolution of the disputed issues identified in that agreement.

(b) Approval with conditions. If the commission conditions its approval of a settlement on terms that are not included in the settlement agreement, the commission will provide the parties with the opportunity to accept or reject the commission's conditions.

(i) If all parties to the settlement agreement timely notify the commission that they accept the conditions, the terms in the settlement agreement and the commission's conditions will resolve the issues identified in the settlement agreement. The commission's order conditionally approving the settlement agreement will then become final by operation of law with respect to those issues without further action from the commission.

(ii) If a party to the settlement rejects any of the commission's conditions or does not unequivocally and unconditionally accept all of those conditions, the commission will notify the parties that it deems the settlement to be rejected, and (c) of this subsection applies. A party may seek clarification or reconsideration of a commission order approving a settlement agreement with conditions pursuant to WAC 480-07-835, 480-07-840, or 480-07-850.

(c) Rejection. If the commission rejects a settlement, the adjudication returns to its status at the time the commission suspended the procedural schedule to consider the settlement. The commission may conduct a prehearing conference to establish a procedural schedule for the remainder of the adjudication. Subject to compliance with any statutory deadline for commission action or an agreed extension of such a deadline, the commission may extend the time for completion of the proceedings by the elapsed time for commission consideration of the settlement.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-750, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-750, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-750, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-800 Order entry, effectiveness, and service.

(1) Entry. The commission has entered an order when all authorized persons have signed it as an official act indicating that the order is to be effective, and those persons or their designee have submitted the order to the commission's records center for service. Each order will state the date on which the commission enters it.

(2) Effectiveness. An order is effective when the commission enters it unless the order specifies a different effective date.

(3) Service. The commission serves an order as provided in WAC 480-07-360. Each order will state the date on which the commission serves it. The service date of an order governs the determination of time limits for further administrative procedure or for judicial review.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-800, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-800, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-810 Interim or interlocutory orders.

(1) Defined. Orders the commission enters in an adjudicative proceeding prior to entering an initial or final order are interim or interlocutory orders. Interim or interlocutory orders include, but are not limited to, orders ruling on a party's participation in a proceeding, scheduling issues, discovery disputes, and evidentiary issues.

(2) When review is available. The commission has discretion to review interim or interlocutory orders. The commission may accept review of such orders if it finds that:

(a) The order terminates a party's participation in the proceeding, and the party's inability to participate thereafter could cause it substantial and irreparable harm;

(b) Immediate review is necessary to prevent substantial prejudice to a party that would not be remediable in the commission's final order; or

(c) Immediate 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 interim or interlocutory order.

(a) The party must file and serve a petition for interlocutory review within ten days after the commission serves the order the party is petitioning the commission to review. The petition must provide a full explanation of why the petitioner believes the order is erroneous or otherwise should be changed and why immediate review is necessary.

(b) Any other party may file and serve a response to the petition within ten days after the petitioner files the petition unless the commission establishes a different deadline.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-810, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-810, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-820 Initial and final orders.

(1) Defined.

(a) Initial orders. Initial orders are orders an administrative law judge enters that resolve the disputed issues in adjudications in which the administrative law judge presides without the commissioners. The commission secretary also may enter initial orders in response to challenges to, or requests for mitigation of, commission penalty assessments.

(b) Final orders. Final orders are orders that a majority of the commissioners enter that resolve the substantive disputed issues in an adjudication in which the commissioners preside or that a majority of the commissioners enter on review of an initial order entered by an administrative law judge or the commission secretary.

(2) Service. The commission will serve initial and final orders on all party representatives included in the master service list in an adjudication.

(3) Timing. Except as otherwise provided in these rules or applicable statute, the presiding administrative law judge 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), or receives final briefs, whichever occurs last. Except as otherwise provided in these rules or applicable statute, 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), receives final briefs, or receives a petition for administrative review or a response to a petition for review, whichever occurs last. The commission may alter the time for entering an initial or final order for good cause.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-820, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-820, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-825 Initial orders—Finality; petitions for administrative review; motions for clarification.

(1) Initial order finality.

(a) An initial order will conclude a proceeding and thus be considered final unless within the time for petitioning for administrative review:

(i) A party timely petitions for administrative review; or

(ii) The commission notifies the parties that it intends to review the initial order.

(b) Parties that 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 issues a notice of finality declining to exercise administrative review or when the time for exercising such review ends.

(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 initial orders.

(2) Petition for administrative review. A party may challenge any finding of fact, conclusion of law, remedy, or result in an initial order by petitioning for administrative review. A party also may 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 of an initial order from any party.

(a) Timing of petition. A party must file and serve any petition for administrative review within twenty days after the commission serves the initial order. The commission may extend or shorten the time on a showing of good cause.

(b) Contents. Petitions for administrative review must not exceed thirty pages in length and must conform to the following requirements:

(i) Every petition must identify with specificity the nature of each challenge to the initial order. The petitioner must separately state and number every contention.

(ii) A petition that challenges a finding of fact must cite the page or part of the record that includes the evidence on which the petitioner relies to support its challenge and should include a recommended finding of fact.

(iii) A petition that challenges a conclusion of law must cite the statute, rule, case law, or other legal authority on which the petitioner relies to support its challenge and should include a recommended conclusion of law.

(iv) 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.

(i) Who may respond. Any party to the adjudication may respond to another party's petition for administrative review.

(ii) Filing and service. A response to a petition for administrative review must be filed and served within ten days after the petitioner files and serves its petition unless the commission establishes a different deadline.

(iii) Challenge to order in response. A party that did not petition for administrative review of an initial order may challenge the order or portions of the order in its response to the petition of another party if that challenge is in response, or otherwise reasonably related, to the issues raised in the petition.

(d) Reply.

(i) By right. A party has the right to reply to new challenges to the order that are included in another party's response as authorized in (c)(iii) of this subsection.

(ii) By leave of commission. A party otherwise has no right to reply to a response, but may petition for leave to reply. Any such petition must cite new issues raised in the response, state why the petitioner could not have reasonably anticipated those issues, and explain why a reply is necessary. The petitioner should attach a reply to the petition for leave to accept the reply.

(iii) Timing. The petitioner must file its reply or a petition for leave to reply no later than five days after the respondent submits its response. The commission may extend the time on a showing of good cause.

(e) Oral argument. A party may request oral argument before the commissioners, but any such request must demonstrate that oral argument is necessary to assist the commission in making its decision on the petition for administrative review and that the written presentations are insufficient.

(3) Motion for clarification of initial order. Any party that does not seek to change the substantive outcome or reasoning of an initial order may file a motion for clarification of that order within five days after the commission serves the order.

(a) Purpose. The purpose of a motion for clarification of an initial order is to correct obvious or ministerial error without the need for parties to request administrative review.

(b) Response. No party may file a response to a motion for clarification unless requested by the commission.

(c) Effect. Filing a motion for clarification does not automatically toll the time for filing a petition for administrative review or for compliance with the initial order. A party may request in its motion for clarification that the commission toll or otherwise extend the time for filing a petition for administrative review or for complying with the initial order. The party making the request must demonstrate good cause for the extension.

(d) Order denying or granting clarification. The presiding administrative law judge will enter an order either denying the motion or granting the motion and providing clarification within five days after the party files the motion. A party may seek administrative review of an order granting or denying clarification either:

(i) In a petition for administrative review of that order filed by the deadline for filing a petition for administrative review of the original initial order; or

(ii) As part of the party's petition for administrative review of the original initial order.

(4) Commission-initiated review. The commission may initiate review of an initial order on the commission's own motion by serving a notice that the commissioners intend to review the order. The notice will establish a schedule for parties to state their positions on the initial order and make supporting arguments. The notice may invite the parties to address specific issues relating to the initial order.

(5) Administrative law judge. An administrative law judge other than the administrative law judge who entered the initial order will assist the commissioners to enter a final order on review of the initial order.

(6) Final order. The commission may enter a final order that adopts, modifies, or rejects an initial order. Alternatively, the commission may remand the matter for further proceedings with instructions to the presiding officer.

(7) Judicial review. The statutory time for filing a petition for judicial review commences when the commission serves its final order or when an initial order becomes final under RCW 80.01.060(3) and subsection (1) of this section; provided that, 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 commences on the date on which the commission serves an order granting or denying 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.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-825, filed 8/29/18, effective 9/29/18
WSR 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. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-825, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-830 Motion to reopen the record prior to entry of a final order.

(1) Record closure. The evidentiary record in an adjudication closes at the conclusion of the last day of hearing unless the commission rules otherwise; except that the evidentiary record will also include any exhibit containing public comments and responses to bench requests the commission receives after the hearings conclude.

(2) Reopening the record. A party may file a motion to reopen the evidentiary record at any time after the record closes and before the commission enters a final order. A party seeking to present additional evidence after the commission has entered a final order must submit a petition for rehearing pursuant to WAC 480-07-870. The commission may reopen the record in a proceeding on its own motion.

(3) Required showing. 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. A motion to reopen the record must include the evidence the party proposes to add to the record and must demonstrate that the evidence meets this standard.

(4) Responses. The commission will give the other parties an opportunity to respond to a motion to reopen the record, including to the evidence the moving party seeks to add to the record, unless the commission determines that it can rule on the motion without hearing from the other parties consistent with the requirements of due process.

(5) Ruling. The commission will rule on a motion to reopen the record in the final order unless the commission determines that a separate order is warranted. If the commission grants the motion in a separate order, the commission may return the matter to the presiding officer for further proceedings, including additional evidentiary hearings or other process when appropriate.

(6) Compliance with statutory deadline. The commission may deny a motion to reopen the record in any proceeding in which the commission must enter a final order within a statutory time frame or by a statutory deadline if the commission determines that it reasonably could not consider the additional evidence offered and enter a final order within the statutory time frame or by the statutory deadline.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-830, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-830, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-835 Clarification of final order by motion.

(1) Motion for clarification. Any party may request that the commission clarify a final order by filing a motion for clarification within ten days after the commission serves the order. The purpose of such a motion is to ensure that the parties know their rights and responsibilities under the final order. An appropriate motion for clarification requests that the commission modify the final order or take other action to accomplish one or more of the following goals:

(a) Clarify the meaning of, or requirements in, the order so that the parties can accurately prepare compliance filings;

(b) Make technical changes to reconcile the application of principle to data, resolve inconsistencies, or correct patent error without the need for parties to request reconsideration and without delaying post-order compliance; or

(2) Motions that do not seek clarification. A party may not file a motion for clarification that seeks to change an outcome with respect to one or more issues resolved by a final order, or that challenges a finding of fact or conclusion of law stated in the order. A party seeking such commission action must submit a petition for reconsideration pursuant to WAC 480-07-850.

(3) Response. No party may file a response to a motion for clarification unless the commission requests a response.

(4) No tolling. Filing a motion for clarification does not toll the time for filing a petition for reconsideration of, or compliance with, the final order of which the party seeks clarification. If the commission enters an order that modifies the final order, the subsequent order will clarify the deadlines for compliance and will be a final order for purposes of further commission or judicial review.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-835, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-835, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-840 Clarification of a final order by conference.

After the commission enters a final order, the commission may schedule an order clarification conference on its own motion or at a party's request. The commissioners may attend the conference or may designate one or more persons to attend on their behalf. The commission will determine whether it will record or transcribe an order clarification conference.

(1) Purpose. The purpose of an order clarification conference is to clarify the final order when parties disagree about its meaning or requirements. An order clarification conference provides the parties and the commission with the opportunity to:

(a) Explore and resolve any disagreements or lack of understanding about the meaning of, or requirements in, the final order so that parties can accurately prepare any compliance filings; or

(b) Identify and make technical changes to reconcile the application of principle to data, resolve inconsistencies, or correct patent error.

(2) Limitation. An order clarification conference is not a forum for discussing or challenging the evidentiary, legal, or policy decisions in the order. Parties may pursue those remedies through a petition for reconsideration or other means.

(3) Effect.

(a) An order clarification conference does not stay the effectiveness of an order, the deadlines for compliance, or the time frames for petitioning for further commission or judicial review. If as a result of the conference, the commission enters an order that modifies the final order, the subsequent order will clarify the deadlines for compliance and will be a final order for purposes of further commission or judicial review.

(b) An order clarification conference does not constitute a formal interpretation of an order. The final order that is the subject of an order clarification conference will remain the sole expression of the commission's decision unless the commission modifies that order in a subsequent order.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-840, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-840, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-850 Reconsideration of a final order.

(1) Petition. Any party may petition for reconsideration of a final order within ten days after the commission serves the order.

(a) Purpose. The purpose of a petition for reconsideration is to request that the commission change the outcome with respect to one or more determinations in a final order.

(b) Contents. A petition for reconsideration must:

(i) Identify each portion of the challenged order the petitioner contends is erroneous or incomplete;

(ii) Site those portions of the record and each statute, commission rule, or other law on which the petitioner relies to support its petition; and

(iii) Present brief argument in support of the relief the petitioner requests.

(c) Response. No party may file a response to a petition for reconsideration unless the commission authorizes a response in a notice establishing the deadline for submitting responses, which may also establish the date by which the commission intends to enter an order resolving the petition. The commission will not grant a petition for reconsideration without providing other parties an opportunity to respond to the petition.

(d) Oral argument. The commission will not hear oral argument on a petition for reconsideration unless the commission determines in its discretion that oral argument will assist the commission in resolving the petition.

(2) 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 the commission will act on the petition.

(3) Action. If the commission grants a petition for reconsideration, the commission may modify its prior order or take other appropriate action. If the commission denies the petition, the commission will take no further action in the matter with respect to the final order. No party may petition for reconsideration of an order on reconsideration.

(4) 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.

(5) Judicial review. Filing a petition for reconsideration is not a prerequisite for seeking judicial review of a commission final order. If a party timely files a proper petition for reconsideration, the time for filing a petition for judicial review does not commence until the commission 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 specifying the date by which the commission will act on a petition for reconsideration pursuant to subsection (2)(b) of this section, is not subject to judicial review.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-850, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-850, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-860 Stay.

Any party may petition the commission to stay the effectiveness of a final order within ten days after the commission serves that order, unless the order or applicable statute provides otherwise . The commission may stay the effect of a final order on its own initiative.

(1) Petition. A petition for stay must cite those portions of the record and statute, commission rule, or other law on which the petitioner relies to support its petition and must present brief argument in support of the relief the petitioner requests.

(2) Response. No party may file a response to a petition for stay unless the commission authorizes a response in a notice establishing the deadline for filing responses, which may also establish the date by which the commission intends to enter an order resolving the petition.

(3) Disposition. A petition for stay is deemed denied twenty days after the date the petitioner submits the petition 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 the commission will act on the petition.

(4) Effect. Filing a petition for stay does not automatically stay the effect of a final order or the deadline for filing a petition for reconsideration. Commission action is required to stay the effect of a final order.

(5) Reconsideration or judicial review. No party may request reconsideration of a commission determination denying a petition for stay. Such a determination also is not subject to judicial review.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-860, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-860, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-870 Rehearing.

Any person affected by a commission final order may petition for rehearing of that order.

(1) Petition. A petition for rehearing must set forth sufficient grounds for rehearing the commission order and must include substantial evidence or an offer of proof in support of the requested relief. Sufficient grounds for rehearing consist of the following:

(a) Changed conditions since the commission entered the order;

(b) Harm to the petitioner resulting from the order that the commission did not consider or anticipate when it entered the order;

(d) Any good and sufficient cause that the commission did not consider or determine in the order.

(2) Filing and service. The petitioner must file the petition in the docket in which the commission entered the final order and must serve the petition on all parties and persons included in the master service list for that docket.

(3) Responses. Any party in the original proceeding may file a response to the petition within twenty days after the petitioner serves the petition unless the commission establishes a different deadline by notice.

(4) Process. Pursuant to RCW 80.04.200 or 81.04.200, if the petitioner is a public service company and files its petition either no earlier than two years after the effective date of the commission's final order or no earlier than six months after the effective date of a final order that a court has not reviewed and with which the company is in compliance, the commission will conduct a prehearing conference to establish a procedural schedule for commission consideration of the petition. In all other circumstances, the commission will determine whether to accept the petition and, if so, the proceedings the commission will undertake to consider the petition.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-870, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-870, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-875 Amendment, rescission, or correction of order.

(1) Amendment or rescission. The commission may propose, or may act in response to a petition, to alter, amend, or rescind any order that the commission has entered. Any such petition must comply with the requirements in WAC 480-07-870 for a petition for rehearing. The commission may take the action it has proposed or grant the petition only after providing:

(a) Notice of the petition or proposed commission action to the affected public service company or companies and to all parties in the underlying proceeding; and

(b) An opportunity for parties to respond in writing or at a hearing consistent with due process.

(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 make any corrections to the order by notice or letter without prior notice or opportunity to respond unless due process requires otherwise. The time for any available review of the corrections begins when the commission serves the corrected order, notice, or letter.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-875, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-875, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-880 Compliance filings.

(1) Definition. A compliance filing is a party's submission in response to a final order that authorizes or requires that party to implement specific terms of that order. A compliance filing may be a single submission (e.g., a revised tariff) or multiple submissions (e.g., periodic reports). A party must strictly limit the scope of its compliance filing to the requirements of the final order to which it relates. A party's filing in response to general commission direction in an order (e.g., filing a new or revised tariff other than the tariffs that initiated the proceeding) is not a compliance filing but is a subsequent filing governed by WAC 480-07-885.

(2) Filing and effective dates. The commission will state in its final order authorizing or requiring a compliance filing the date by which the party must make the compliance filing and the effective date that should appear on any tariff sheets that are required as part of a compliance filing. The commission may delegate to the secretary, by written authorization in individual proceedings, the authority to take appropriate action with respect to a compliance filing. A compliance filing does not become effective automatically on its stated effective date. The commission must approve or accept any compliance filing before it can be effective.

(3) Where to make filings. Parties must make compliance filings in the docket of the final order to which they relate unless the commission has required otherwise in that order. Parties must file and serve such filings consistent with the filing and service requirements in that docket. A party making a compliance filing that includes a tariff also must provide work papers to the other parties that demonstrate the derivation of the proposed rates or charges in that tariff.

(4) Responses. Commission staff must, and any other party in the docket may, file a response to the compliance filing within five business days from the date it is filed or by such other deadline as the commission may establish. Any such response must be limited to the issue of whether the filing complies with the commission order. Except as otherwise provided in this section, commission staff must review the filing to determine its compliance with the order and, at a minimum, file a response in the form of a letter informing the commission of the results of that review.

(5) No dispute. If no party disputes the filing's compliance with the final order, the commission may issue a notice or letter that the filing appears to comply with the order and that allows the filing to become effective.

(6) Dispute. If a party disputes the filing's compliance with the final order, the commission will provide an opportunity to respond. The commission may then enter an order:

(a) Approving the filing;

(b) Rejecting the filing, in whole or in part, for failure to comply with the final order and requiring a revised compliance filing; or

(7) Subsequent discovery of noncompliance. If the commission allows a compliance filing to become effective but later discovers that the filing does not fully comply with the order authorizing or requiring the filing, the commission may take any necessary and lawful steps to secure full compliance with that order. The commission's erroneous acceptance of a compliance filing does not validate the noncompliant elements of the filing or modify the final order requiring that filing.

(8) Reports. The commission may enter an order that requires a party to report periodically to the commission with respect to designated subject matter. The reports must be submitted under the docket number of the proceeding in which the commission entered the order unless the order specifies otherwise or the commission establishes a different requirement in a subsequent order or notice. Such compliance filings have no stated effective date, do not become effective by operation of law, and require no commission action in response to the filing.

(9) Monetary payments. An order may require a party to pay monetary penalties, either in a single lump sum or periodically over time. No party should file a response to any timely payment made in compliance with the order, and the commission generally will not issue an acknowledgment or approval in response to the payment.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-880, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-880, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-885 Subsequent filings.

When the commission enters a final order that authorizes or requires a party to make a subsequent filing to implement general instructions in that order (e.g., the submission of tariffs other than revisions to the tariffs that initiated the proceeding), the filing initiates a new proceeding to which the commission will assign a new docket number.

(1) Filing and service requirements.

(a) In the cover letter accompanying a subsequent filing, the party must request a new docket and identify the order and the docket in which the commission required the subsequent filing.

(b) 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 commission entered the final order authorizing or requiring the filing. Any party that believes the subsequent filing is not in compliance with the commission's final order in that proceeding must file its objection in both the original and new dockets within ten days of the service date of the subsequent filing unless the commission establishes a different deadline.

(2) Timing. A final order that authorizes or requires a subsequent filing may state the date by which the party must make the subsequent filing. If the final order does not specify a date for the subsequent filing, the commission may establish the date by subsequent order, notice, or letter.

(3) Commission action. The commission generally 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, subject to any additional requirements in the final order that authorized or required that filing. If a party to the original proceeding objects to the subsequent filing as not in compliance with the final order in that proceeding, the commission also may take additional action in that docket.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-885, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-885, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 open meetings per month on alternate Thursdays at 9:30 a.m. in the commission's office in Olympia, Washington. The specific time and place of each open meeting are published, as required, in the Washington State Register and on the commission's website. The commission may cancel an open meeting or change the time or place of an open meeting and will publish a notice of these changes on its website and in the Washington State Register for distribution at least twenty days prior to the rescheduled meeting date.

(2) Special meetings. The commission may convene special open meetings under RCW 42.30.080.

(3) Recessed meetings. The commission may recess a regular or special open meeting and reconvene it at a different time or location.

(4) Agenda. The commission will publish an agenda for each regular open meeting at least two business days prior to the meeting. The commission also may publish an addendum or otherwise amend the agenda after publishing it and may take up matters that do not appear on the published agenda consistent with notice and due process requirements. The commission posts the agenda and any addendum on its website.

(a) Discussion agenda. The discussion portion of the agenda includes items that are scheduled for discussion and action by the commissioners. This part of the agenda is further divided into utilities and transportation sections.

(b) No-action agenda. The no-action portion of the agenda includes items that appear to be noncontroversial and, by law, may take effect without action by the commission. The commission will move any item on the no-action portion of the agenda to the discussion portion of the agenda at the request of any commissioner or other person and may take such action on the item as the commission deems appropriate.

(c) Consent agenda. The consent portion of the agenda includes items that appear to be noncontroversial and, by law, require action by the commission to take effect. The commission will act on the items on the consent portion of the agenda by a single motion and a single vote of the commissioners. The commission will move any item on the consent portion of the agenda to the discussion portion of the agenda at the request of any commissioner or other person and may take such action on the item as the commission deems appropriate.

(5) Deadlines and schedules.

(a) The commission generally schedules items for consideration at the last regular open meeting before the item would take effect by operation of law. The commission generally includes items without a stated effective date on the agenda for the regular open meeting scheduled thirty days or more after the commission receives a complete filing.

(b) A company that requests a filing become effective on less than statutory or other required notice must make that request and a complete filing at least seven business days prior to the next regular open meeting to have the commission consider the filing at that meeting. The commission generally will schedule items filed less than seven business days before an open meeting for the second open business meeting after the filing.

(c) All written comments in response to an open meeting item should be submitted to the commission at least three business days in advance of the meeting to enable the commissioners to consider those comments during the meeting. Persons are not required to submit written comments about an open meeting item to make oral comments at the meeting.

(6) Staff contact. The commission will designate a staff member to analyze and present a recommendation to the commissioners for each item on the discussion portion of the agenda. The agenda item description will include the staff person's name and contact information. Persons interested in these items may discuss them with the designated staff person prior to the open meeting.

(7) Public comment. The commission will provide an opportunity at the beginning of each open meeting for members of the public to request that items on the consent or no-action portions of the agenda be moved to the discussion portion. The commission will provide an opportunity for public comment on each item on the discussion portion of the agenda before taking action on that item.

(8) Orders. The commission may direct the executive secretary to enter any order or sign any document necessary to implement an open meeting decision by the commissioners.

(9) Modifications. The commission may exercise its discretion to modify the procedures in this section when appropriate to the conduct of its business.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-900, filed 8/29/18, effective 9/29/18
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-900, filed 8/22/08, effective 9/22/08
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-900, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-900, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

(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 unless the commission has delegated signing authority to other commission personnel.

(b) Appointing authority. The executive secretary is theappointing 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.

(e) Penalty assessment challenges and mitigation. Unless the commission refers the matter to the administrative law division for hearing, the executive secretary will sign orders or letters:

(i) Denying or sustaining, in whole or in part, challenges to penalties the director of the administrative law division has assessed on delegated authority from the commission pursuant to WAC 480-07-915; or

(ii) Granting or denying, in whole or in part, mitigation of such penalties.

(3) Deferral to the commissioners. The executive secretary may exercise discretion to defer any delegated matter to the commissioners for decision.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-903, filed 8/29/18, effective 9/29/18. Statutory Authority: 2006 c 246, RCW 80.01.040 and 80.04.160. WSR 06-17-126 (Docket A-060357, General Order No. R-538), § 480-07-903, filed 8/21/06, effective 9/21/06.

Wash. Admin. Code § 480-07-904 Delegation of authority to decide certain matters.

(1) Delegation by order. Except as expressly provided in these rules, the commission will establish by order the matters it delegates to the executive secretary or other authorized commission personnel for decision.

(2) Effect. A decision made on delegated authority shall take effect immediately on entry of an order or letter or on a later date specified in the order or letter, without prior notice. The executive secretary may set any particular matter for commission decision through the open public meeting process, adjudicative or brief adjudicative proceeding, or other established commission process. Upon request, the commission will review the matter under subsection (4) of this section.

(3) Notice. The commission will notify the affected company and post on the commission's website for at least fourteen days a listing of all matters the executive secretary or other authorized personnel decided on delegated authority, showing the docket number, date of entry of decision, company name, and deadline for filing a request for commission review.

(4) Commission review. Except as provided in WAC 480-07-905, any person directly affected by a delegated determination may request commission review of that determination. The person must file that request no later than the fourteenth day after the date the commission serves the order and posts it on the commission's website. The commission will consider the request using the same process applicable to commission review of initial orders set forth in WAC 480-07-825.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-904, filed 8/29/18, effective 9/29/18
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-904, filed 8/22/08, effective 9/22/08
WSR 06-17-126 (Docket A-060357, General Order No. R-538), § 480-07-904, filed 8/21/06, effective 9/21/06.

Wash. Admin. Code § 480-07-905 Delegation of authority to enter ex parte orders.

(1) Except as expressly provided elsewhere in these rules, the commission will authorize by order the executive secretary or other authorized personnel to enter ex parte orders or letters in the name of the commission in nonadjudicative matters. The commission will maintain on its website a list of all nonadjudicative matters the commission has delegated to the executive secretary or other authorized personnel and the personnel to whom the commission delegated that authority.

(2) The commission will notify the affected company and post on its website notice of all orders or letters entered on delegated authority. Persons affected by the order or letter who wish to respond must follow the procedure in WAC 480-07-904 (2) and (3), except that carriers seeking commission review of orders or letters suspending or canceling a permit (e.g., for failure to maintain evidence of required insurance coverage), must request a hearing or brief adjudicative proceeding pursuant to WAC 480-07-610.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-905, filed 8/29/18, effective 9/29/18
WSR 08-18-012 (Docket A-072162, General Order R-550), § 480-07-905, filed 8/22/08, effective 9/22/08
WSR 06-17-126 (Docket A-060357, General Order No. R-538), § 480-07-905, filed 8/21/06, effective 9/21/06.

Wash. Admin. Code § 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 or entity the commission regulates or about the commission's operations. A person may make an informal complaint by telephone, correspondence, or email or by using the complaint form available on the commission's website.

(2) Contents. An informal complaint must identify the business, entity, or operations to which the complaint pertains. An informal complaint should:

(a) Present all facts that are needed for the commission to understand the nature of, and reason(s) for, the complaint;

(b) Describe the acts or omissions that led to the complaint, with all relevant dates; and

(3) Commission response; result. Commission employees assigned to assist consumers may discuss an informal complaint with the affected persons. The commission will investigate the complaint to determine if there are violations of any applicable rule or law and if so, will work with the parties to ensure compliance. The commission encourages the informal resolution of disputes whenever possible. An informal complaint will not result in a hearing or an order.

(4) Uniform Mediation Act not applicable. The Uniform Mediation Act, chapter 7.07 RCW, does not apply to the commission's informal complaint resolution process.

(5) Filing of formal complaint regarding subject of informal complaint. Making an informal complaint does not prevent any party from filing a formal complaint as provided in WAC 480-07-305. The commission also may initiate a formal complaint proceeding on its own initiative. The commission will stop processing an informal complaint when a person filing an informal complaint files a formal complaint or the commission initiates a formal complaint proceeding.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-910, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-910, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-910, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-915 Penalty assessments.

(1) Delegation. The commission delegates to the director of the administrative law division, or another administrative law judge the director designates, the authority to assess penalties pursuant to RCW 80.04.405, 81.04.405, 81.04.530, 19.122.150, or any other statutes that authorize the commission to assess penalties outside of an adjudicative proceeding for violations of any commission order or any statute, rule, or regulation within the commission's jurisdiction except as provided in WAC 480-07-917.

(2) Notice. At the direction of the director of the administrative law division, the commission will serve a notice on the person assessed a penalty describing the violation with reasonable particularity, specifying the amount of the penalty, and advising the person that the penalty is due and payable.

(3) Response. Within fifteen days of receiving the notice, the person subject to the penalty assessment must take one of the following actions:

(a) Pay the assessed penalty. The penalized person may admit the violation and pay the full amount of the penalty by the due date.

(b) Contest the violation. The penalized person may submit written materials to contest the penalty assessment and may request that the commission make a determination based on those materials or may request the opportunity to present facts described in those materials through evidence at a hearing.

(c) Request mitigation. The penalized person may admit the violation but submit written materials in support of a request to reduce the amount of the penalty. The penalized person may request mitigation based solely on the written materials or may request the opportunity to present the facts described in those materials through evidence at a hearing.

(d) Accept conditions. If the commission offers to suspend any or all of the penalty based on specified conditions (e.g., to commit no additional violations within a specified period of time), the person may admit the violation, accept the conditions, and pay any unsuspended portion of the penalty by the due date, subject to complying with the conditions by the date specified in the notice of penalty assessment. Failure to comply with those conditions will result in the suspended portion of the original penalty immediately becoming due and payable.

(4) Written statement. Any response contesting the violation or requesting mitigation must include a written statement of the reasons supporting the requested relief. The commission may deny any contest to the violation or any mitigation request that does not include such a statement.

(5) Staff reply. Commission staff will file any reply to a response contesting the violation or requesting mitigation within ten business days. If the commission conducts a hearing on the request, commission staff will participate as a party in that proceeding.

(6) Hearing. The commission will grant a request for hearing to contest the violation or request mitigation only if material issues of law or fact require consideration of evidence and resolution in a hearing. If the commission denies a request for hearing, the commission will consider the contest of the violations or request for mitigation based on the written statement included in the response. If the commission grants a request for hearing, an administrative law judge other than the director of the administrative law division or the designee who signed the penalty assessment will review the evidence supporting the contest of the violation or application for mitigation in a brief adjudicative proceeding pursuant to WAC 480-07-610. The executive secretary will issue a notice establishing the procedures, date, and time for the hearing.

(7) Order. The executive secretary will enter an order resolving contested violations or requests for mitigation the commission considers without a hearing. A person aggrieved by the order may request administrative review. The commission will consider the request using the same process and requirements applicable to commission review of initial orders set forth in WAC 480-07-825.

(8) Compliance with conditions. An order on mitigation may suspend all or part of an assessed penalty based on one or more conditions.

(a) Compliance. If the penalized person complies with all conditions in the order, commission staff will file a letter confirming that compliance. If the commission agrees, the executive secretary will issue a letter or notice waiving the suspended portion of the penalty.

(b) Noncompliance. If the penalized person does not comply with any such condition, commission staff will file a letter or motion requesting that the commission impose some or all of the suspended portion of the penalty. The penalized person must file any response to the letter or motion within five business days, including any request for a hearing to assess the person's compliance with the condition. The commission will consider and make a determination on the letter or motion and any request for hearing using the same procedure and requirements in subsections (6) and (7) of this rule.

(9) Enforcement. Unless a timely contest of the violation(s) or mitigation request is pending before the commission, failure to pay an assessed penalty by the due date is a violation of law for which the commission may take additional enforcement action including, but not necessarily limited to, one or more of the following:

(a) Assess additional penalties;

(b) Suspend or revoke the operating authority of a penalized public service company whose operating authority is subject to commission suspension or revocation until the company pays the penalty in full;

(d) Initiate an adjudicative or brief adjudicative proceeding; or

(e) File an enforcement action in superior court.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-915, filed 8/29/18, effective 9/29/18.

Wash. Admin. Code § 480-07-917 Penalties for failure to file annual report and pay regulatory fees.

(1) Monetary penalties. Any public service company that fails to file a complete annual report with the commission and pay any required regulatory fees by May 1st of each year, or by a subsequent deadline the commission has previously established in response to a company's timely request to extend the May 1st filing date, must pay the following monetary penalties to the commission:

(a) Two hundred fifty dollars if the filing is one to thirty days late;

(b) Five hundred dollars if the filing is thirty-one to sixty days late; or

(2) Alternative penalties. If a public service company has not filed a complete annual report and paid any required regulatory fees within ninety days after the filing deadline, the commission in its discretion may impose one or both of the following penalties as an alternative to the monetary penalties in subsection (1) of this section:

(a) Revocation or cancellation of the company's operating authority (unless otherwise prohibited under applicable law) following notice and opportunity for hearing (if required by applicable law); and

(b) Penalties the commission may assess pursuant to RCW 80.04.380, 80.04.405, 81.04.380, or 81.04.405, as applicable.

(3) Notice. The commission will serve a notice on each public service company that has failed to file a complete annual report and pay any required regulatory fees by the deadline, specifying the amount of the monetary penalty due as of the date of the notice. The notice will also advise the company that the specified penalty is due and payable and will increase as provided in subsection (1) of this section, or that the company may be subject to the alternative penalties in subsection (2) of this section, if the company continues to fail to file a complete annual report and pay any required regulatory fees.

(4) Waiver. The commission may waive a monetary penalty, in whole or in part, if the public service company demonstrates to the commission's satisfaction that the company failed to file its complete annual report and pay any required regulatory fees by the deadline due to circumstances beyond the company's control.

(a) Request. The commission must receive any request for waiver of the monetary penalty within fifteen days of the date of the commission notice informing the company that the penalty is due and payable. The request must include a written statement of the reasons the company failed to file a complete annual report and pay any required regulatory fees by the deadline sufficient to demonstrate that the company's failure was due to circumstances beyond its control. Unless those circumstances continue to persist, the company should file a complete annual report and pay any required regulatory fees prior to, or at the same time as, submitting a request for waiver.

(b) Circumstances beyond a company's control. Circumstances beyond a company's control that may support a request to waive some or all of the monetary penalty include, but are not limited to:

(i) Death or serious illness of the person responsible for filing the report, or a member of that person's immediate family;

(ii) Destruction by fire or other casualty of the company's place of business or business records;

(iii) An act of fraud, embezzlement, theft, or conversion on the part of an employee; or

(iv) The commission did not send notice of the annual report filing requirement to the company as a result of commission error. Commission error for these purposes does not include either the commission's inability to send notice to the company or the commission sending notice to an incorrect address if the company has failed to provide the commission with the company's current correct email address (or physical address if the company has notified the commission that it does not have, and cannot obtain, an email address).

(c) Circumstances not beyond a company's control. Circumstances that are not beyond a company's control and that will not support a request to waive some or all of the monetary penalty include, but are not limited to:

(i) Financial hardship;

(ii) Misunderstanding or lack of knowledge of commission rules;

(iii) Failure to receive an annual report form from the commission unless the annual report form was not available on the commission's website, or the commission did not furnish a copy of the form upon request in reasonable time for the company to file the form and pay any required fees;

(iv) Mistakes or misconduct on the part of an employee other than fraud, embezzlement, theft, or conversion;

(v) Employee termination or turnover;

(vi) Personal events such as weddings or graduation ceremonies; and

(vii) Vacations or business trips.

(d) No tolling. A request for waiver of a monetary penalty does not toll a company's obligation to file a complete annual report and pay any required regulatory fees. If the company has not made the required filing, the penalty amount will continue to escalate as provided in subsection (1) of this section unless and until the company makes that filing, regardless of whether the company has requested a waiver of the penalty.

(e) Commission decision. Within ten days of receiving a request for waiver, the commission will issue a notice informing the company of the commission's decision on the request.

(f) No administrative review. Except for penalties the commission assesses pursuant to subsection (2)(b) of this section, the decision on any request for waiver of a monetary penalty is final and is not subject to further administrative review.

(5) Delegation. The commission delegates to the director of regulatory services, or the director's designee, the authority to assess and to determine whether to waive, in whole or in part, the monetary penalties in subsection (1) of this section. The commission delegates to the director of the administrative law division, or an administrative law judge the director designates, the authority to impose the alternative penalties in subsection (2) of this section.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-917, filed 8/29/18, effective 9/29/18.

Wash. Admin. Code § 480-07-920 Interpretive and policy statements.

(1) General. Upon the petition of any person, or upon its own initiative, the commission may make and issue interpretive and policy statements to advise the public of the commission's current opinions, approaches, and likely courses of action. Interpretive and policy statements are advisory only and are not binding on the commission or any person.

(2) Roster of interested persons. The commission will maintain a roster of interested persons who have requested in writing to be notified of all interpretive and policy statements the commission issues. The commission will periodically update the roster. The commission will provide an electronic copy to each person on the roster when the commission issues an interpretive and policy statement.

(3) Submission of statement to the office of the code reviser. Whenever it issues an interpretive and policy statement, the commission will submit to the office of the code reviser for publication in the Washington State Register a statement describing the subject matter of the interpretive and policy statement and describing how interested persons may obtain a copy of that statement.

(4) Conversion to rules. The commission may convert any interpretive and policy statement into rules through a formal rule making. Any interested person may petition the commission to initiate such a rule making. Upon receipt of such a petition, the commission will:

(a) Notify the joint administrative rules review committee of the petition; and

(b) Within sixty days either deny the petition in writing, stating the reasons for the denial, or initiate rule-making proceedings.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-920, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-920, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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 purports to present the commission with the option to enter either a declaratory order or an adjudicative order. The filing party must specify a single process under which it requests that the commission proceed.

(2) Notice. The commission will give notice of any petition for declaratory order within fifteen days after the commission receives the petition. The commission will serve notice 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 a response 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:

(a) 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;

(b) Supports such assertion by sworn statement in the form of a declaration or affidavit demonstrating the potential for substantial prejudice; and

(c) 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 the reasons for that decision;

(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. The commission will hold any hearing on a petition for declaratory order under RCW 34.05.240 within ninety days after receipt of the petition. The commission will give at least seven days' notice of any hearing to the petitioner, to all persons to whom notice is required by law, and to any other person the commission deems desirable. The notice will include the time and place for the hearing and a statement of the issues the commission will consider.

(6) Extension of time. The commission may extend the times specified in subsection (5)(c) and (d) of this section for good cause.

(7) Commission action after hearing. The commission will take one of the following actions within a reasonable time after holding any hearing as provided in subsection (5)(d) of this section:

(a) Enter a declaratory order; or

(b) Notify the petitioner that the commission will not enter a declaratory order and state the reasons for that decision.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-930, filed 8/29/18, effective 9/29/18
WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-930, filed 7/27/06, effective 8/27/06
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-930, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 480-07-940 Conversion of proceedings.

The commission may convert a proceeding to a different type of proceeding on the commission's own initiative or upon application by any party or person directly affected. Any such conversion or commission refusal to convert a proceeding will comply with the requirements in RCW 34.05.070 and be consistent with the public interest.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 18-18-041 (Docket A-130355, General Order R-592), § 480-07-940, filed 8/29/18, effective 9/29/18
WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-940, filed 11/24/03, effective 1/1/04.

Wash. Admin. Code § 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.

History

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

Chapter 480-11 SEPA procedures.

Wash. Admin. Code § 480-11-010 Authority.

This chapter is created under RCW 43.21C.120 and chapter 197-11 WAC.

History

Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-11-010, filed 12/29/97, effective 1/29/98. Statutory Authority: Chapter 43.21C RCW. WSR 84-21-030 (Order R-222, Cause No. TE-1817), § 480-11-010, filed 10/10/84. Formerly chapter 480-10 WAC.

Wash. Admin. Code § 480-11-020 Incorporation of chapter 197-11 WAC.

The commission adopts provisions of chapter 197-11 WAC (SEPA guidelines adopted by the department of ecology) to be applicable to the Washington utilities and transportation commission. A copy of the rules adopted by reference in this section is available for inspection at the Washington utilities and transportation commission branch of the Washington state library, at the commission's headquarters office in Olympia.

History

Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-11-020, filed 12/29/97, effective 1/29/98. Statutory Authority: Chapter 43.21C RCW. WSR 84-21-030 (Order R-222, Cause No. TE-1817), § 480-11-020, filed 10/10/84.

Wash. Admin. Code § 480-11-030 Designation of responsible official.

The responsible official for the commission for matters affected by SEPA is the director of regulatory services.

History

Statutory Authority: RCW 80.01.040, 80.04.160 and 81.04.160. WSR 98-02-011 (Order R-446, Docket No. A-970591), § 480-11-030, filed 12/29/97, effective 1/29/98. Statutory Authority: Chapter 43.21C RCW. WSR 84-21-030 (Order R-222, Cause No. TE-1817), § 480-11-030, filed 10/10/84.

Chapter 480-12 Motor carriers.

Wash. Admin. Code § 480-12-100 Forwarders and brokers.

(1) For the purpose of these rules a "forwarder" shall be defined as a person engaged in the business of soliciting, collecting or assembling shipments for the purpose of combining the same into a shipment of such size as to be entitled to a quantity rate and who forwards such shipment in his own name and at his own risk by a common carrier at such quantity rate.

(2) A "broker" is a person engaged in the business of providing, contracting for or undertaking to arrange for, transportation of property by two or more common carriers.

(a) A broker's compensation shall be in the form of a fixed fee or percentage of the total tariff charges which shall be fixed and established by the commission based upon evidence submitted by the affected party or parties, which in every instance must be collected from the shipper by the broker and no charge for any service shall be collected from the carrier. Every common carrier broker shall collect his fee, or percent of the total revenue charges, as a separate item and in accordance with the provisions of WAC 480-12-340 credit, extension of, by common carriers. Unless specifically authorized by the commission no common carrier broker authorized to collect charges from shippers for common carrier brokerage service shall collect from said shipper the common carrier tariff charges arising from the highway transportation of the property: Provided, That these provisions will not apply to any person holding a broker permit issued by the commission prior to April 16, 1971. Such brokers may continue to operate under the terms and conditions specified in their broker permit and under the commission rules which were in effect at the time their broker permit was issued.

(3) A carrier holding a highway transportation permit or an agent of such carrier, may not act as a shipper's agent, except as may be specifically authorized by a common carrier forwarder permit or a common carrier broker permit.

(4) A permit shall not be issued authorizing any one person to operate both as a broker and a forwarder.

(5) A forwarder shall not be permitted to charge rates which are lower than those prescribed for common carriers by motor vehicle. Such forwarder shall ship only over the lines of common carriers holding permits authorizing the transportation of general freight by motor vehicle.

(6) A common carrier broker, who also holds a common carrier permit authorizing highway transportation, may not perform highway transportation of the property of a shipper for which a common carrier brokerage service is rendered in equipment acquired by lease from another common carrier holding its own authority to provide the service.

(7) Every shipper, or group or association of shippers engaged in consolidating or distributing freight for themselves or for their members, and who wish to claim exempt status under chapter 138, Laws of 1979 ex. sess. [RCW 81.80.045] , shall notify the commission promptly upon beginning such services and, in addition, shall comply with the following:

Complete and file with the commission, by April 1 following each year in which an exemption is claimed, a statement of nonprofit status, notarized and dated, in substantially the following form:

| The undersigned has (have) performed services as freight forwarder claiming exempt status under chapter 138, Laws of 1979 ex. sess. [RCW 81.80.045], in the year . . . . , beginning in the month of . . . . . . . . There was no intent to perform such services for a profit, and no profit was in fact made. | | | --- | --- | | | . . . . . . . . . . . . . . . . . . . . (Signature of forwarders) | | Subscribed and sworn to before me this . . . . . . . . day of . . . . . . . . , 19 . . . . | | | | . . . . . . . . . . . . . . . . . . . . Notary Public for the state of Washington in and for the county of . . . . . . . . |

History

RCW 81.80.045] , shall notify the commission promptly upon beginning such services and, in addition, shall comply with the following:Complete and file with the commission, by April 1 following each year in which an exemption is claimed, a statement of nonprofit status, notarized and dated, in substantially the following form:The undersigned has (have) performed services as freight forwarder claiming exempt status under chapter 138, Laws of 1979 ex. sess. [RCW 81.80.045], in the year . . . . , beginning in the month of . . . . . . . . There was no intent to perform such services for a profit, and no profit was in fact made. . . . . . . . . . . . . . . . . . . . . (Signature of forwarders)Subscribed and sworn to before me this . . . . . . . . day of . . . . . . . . , 19 . . . . . . . . . . . . . . . . . . . . . . . . Notary Public for the state of Washington in and for the county of . . . . . . . . [Statutory Authority: RCW 80.01.040. WSR 87-19-088 (Order R-276, Cause No. TV-2092), § 480-12-100, filed 9/17/87. Statutory Authority: RCW 81.80.045 and 81.80.120. WSR 80-01-013 (Order 136, Cause No. TV-1286), § 480-12-100, filed 12/12/79
Order R-24, § 480-12-100, filed 4/16/71
Order R-18, § 480-12-100, filed 6/4/70
Order R-5, § 480-12-100, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-12-375 Bond required—Broker—Forwarder.

(1) Each intrastate broker or forwarder and each interstate broker or forwarder shall file with the commission, and keep in effect, a surety bond, or deposit satisfactory security in the amount of ten thousand dollars conditioned upon such broker or forwarder making compensation to shippers, consignees and carriers for all moneys belonging to them and coming into the broker's or forwarder's possession in connection with such transportation service.

(2) It is unlawful for an interstate broker or forwarder to conduct business as such in this state without first securing appropriate authority from the Interstate Commerce Commission, if such authority is required, and registering with the Washington utilities and transportation commission. The commission shall grant such registration without hearing upon filing a uniform application for registration of operating authority issued by the ICC and payment of a one-time registration fee of twenty-five dollars.

(3) Failure to file such bond or deposit such security is sufficient cause for refusal of the commission to grant the application for a permit or registration. Failure to maintain the bond or the deposit of security is sufficient cause for cancellation of a permit or registration.

(4) For the purposes of this section, "intrastate broker or forwarder" means a person who provides brokering or forwarding services for the transportation of property in intrastate commerce. "Interstate broker or forwarder" means a person who provides brokering or forwarding services for the transportation of property in interstate commerce when such person, its employees, or agents are physically present in the state.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (rep.) (Order R-454, Docket No. TV-971477) and WSR 99-08-026 (Order R-454, Docket No. TV-971477), § 480-12-375, filed 12/15/98 and 3/30/99, effective 1/15/99 and 4/30/99. Statutory Authority: RCW 80.01.040 and 1991 c 146. WSR 92-09-014 (Order R-372, Docket No. TV-911218), § 480-12-375, filed 4/2/92, effective 5/3/92
Order R-5, § 480-12-375, filed 6/6/69, effective 10/9/69.

Chapter 480-14 Motor carriers, excluding household goods carriers and common carrier brokers.

Wash. Admin. Code § 480-14-010 Purpose and application.

These rules require intrastate common carriers of property by motor vehicle to obtain and maintain intrastate common carrier operating permits, to file reports and pay regulatory fees, and to file and maintain evidence of required insurance coverage. The rules also require interstate carriers to secure appropriate authority from the United States Department of Transportation (USDOT) and to register with the commission and pay fees as required by the Uniform Carrier Registration (UCR) program or any successor program.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-010, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-010, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-020 Rules, general application of rules.

(1) No rule contained in this chapter can be changed, altered or revised except by general order of the commission pursuant to the Washington State Administrative Procedure Act.

(2) The rules in this chapter are for general application only, and are subject to such changes and modifications as the commission may deem advisable from time to time, and also to such exceptions as may be considered just and reasonable in individual cases.

(3) A person requesting an exemption from any of these rules must direct his or her request to the commission at its Olympia headquarters office. The person must identify the rule from which exemption is sought and give a full explanation of the reason(s) the exemption is desired.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-020, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-020, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-040 Definitions.

As used in this chapter, the following definitions shall apply:

(1) The term "common carrier" means any person who undertakes to transport property, including general commodities, materials transported by armored car service, and/or hazardous materials, for the general public by motor vehicle for compensation, including under individual contracts or agreements, and including motor vehicle operations of other carriers by rail or water and of express or forwarding companies. The term does not include household goods carriers, as defined by WAC 480-15-020, solid waste collection companies, as defined by WAC 480-70-041, or "exempt carriers."

(2) The term "exempt carrier" means any person operating a vehicle exempted from certain regulatory provisions under RCW 81.80.040.

(3) The term "carrier of hazardous materials" means any person who transports radioactive materials, hazardous waste, hazardous materials and hazardous substances as defined in Title 49 Code of Federal Regulations. Information about 49 C.F.R. regarding the version currently in effect and where to obtain it is set out in WAC 480-14-999.

(4) The term "carrier of general commodities" means any person transporting the property of others for compensation, except persons performing the service of transporting household goods as defined in WAC 480-15-020.

(5) The term "armored car service" means carriers transporting property of very high value (gold, silver, currency, valuable securities, jewels and other property of very high value) using specially constructed armored trucks and providing policy protection to safeguard freight while it is being transported and delivered. It also means carriers which operate ordinary equipment in the carriage of high value commodities when guards are necessary to accompany the shipment.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-040, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-14-040, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-040, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-050 Procedures and documents.

(1) Procedures. The commission's procedural rules are contained in chapter 480-07 WAC and apply to common carriers regulated under this chapter. If a rule in this chapter conflicts with a rule in chapter 480-07 WAC, the rule in this chapter applies.

(2) Documents. All petitions, complaints, applications for common carrier permits or extensions, or any other matter required to be served upon or filed with the Washington utilities and transportation commission must be served or filed upon the commission at its headquarters office as shown in WAC 480-04-035, upon the secretary of the commission. Any petition, complaint, application, or other matter required to be served upon or filed with the commission will not be considered served or filed until it is received at the headquarters office.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-050, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-14-050, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-050, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-090 Permits.

Permit holders must carry a copy of operating authority issued by the Washington utilities and transportation commission on each power unit operated in intrastate operations.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-090, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-090, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-100 Operations must be under permit name.

Every common carrier must conduct its operations under its corporate, trade or assumed name as described in its permit. No common carrier may perform any carrier service, or hold itself out to perform such service, by advertisement or otherwise in any name other than its corporate, trade or assumed name as described in its permit.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-100, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-100, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-110 Improper use of permit or registration receipt.

No person or firm may use a permit or registration receipt except the carrier to whom it was issued.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-110, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-110, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-120 Change of address.

A carrier must immediately report to the commission in writing any change in the address of its principal place of business.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-120, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-120, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-140 Fees.

Fees for applications are as follows:

| Type of Application | Fee | | --- | --- | | Change of name or business structure . . . . $50 | | | Permanent common carrier operating authority | | | Hazardous materials . . . . $275 | | | General commodities . . . . $275 | | | Armored car service . . . . $275 | | | Extension of common carrier permit authority | | | Hazardous materials . . . . $100 | | | General commodities . . . . $100 | | | Armored car service . . . . $100 | | | Reinstatement of authority (within 10 months of cancellation) | | | Hazardous materials . . . . $100 | | | General commodities . . . . $100 | | | Armored car service . . . . $100 | |

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-140, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-140, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-150 Periodic reports and regulatory fees.

(1) The commission may require, on an annual basis, a special report from each common carrier that operated within the state during the prior calendar year. The report must be filed on or before the first day of May, to cover the operations of the prior calendar year. The report must include a statement on oath showing the common carrier's gross operating revenue from intrastate operations during the prior calendar year.

(2) Each common carrier must pay a regulatory fee at the time it files a report. The regulatory fee is 0.0025 times the stated gross operating revenue, unless that rate is reduced or waived by commission order.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-150, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-150, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-160 Contested fees.

(1) A person may contest any fee imposed by these rules.

(a) The person must first pay the fee.

(b) Within six months of the date the fee is due, the payor may petition the commission for a refund of the fee paid.

(i) The name of the payor/petitioner.

(ii) The date and the amount paid.

(iii) A copy of any receipt, if available.

(iv) The nature of the fee paid.

(v) The amount of the fee that is contested.

(vi) The statute under which the fee is imposed, if known.

(vii) Any reasons why the commission may not impose the fee.

(2) The commission may grant the petition administratively or may set the petition for adjudication or for brief adjudication.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-160, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-160, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-180 Applications for intrastate authority.

No person may conduct operations as a common carrier in Washington intrastate commerce without having first obtained a permit from the commission to do so.

(1) Common carriers must apply to the commission to acquire permanent common carrier authority, to extend existing permanent common carrier authority, or to change a carrier name or business structure. Common carriers must apply on forms furnished by the commission and must include all the information, documents and exhibits called for in the form or the form's instructions. The commission may refuse to accept any application until all required information is supplied.

(2) The commission will not accept an application unless it is accompanied by the required fee as shown in WAC 480-14-140.

(3) The commission's acceptance of an application for filing does not indicate the commission's approval, nor is the commission precluded from finding that the information presented in the application is insufficient.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-180, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-180, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-190 Common carrier permits.

(1) The commission will issue a common carrier permit to any applicant that files an application satisfying the requirements of WAC 480-14-180 and that files insurance in accordance with the requirements of WAC 480-14-250.

(2) The commission may dismiss an incomplete application. The applicant may request a review of dismissal through a brief adjudicative proceeding, pursuant to WAC 480-07-610.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-190, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-14-190, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-190, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-200 Armored car service.

Common carriers defined as providing "armored car service" under WAC 480-14-040(8), when transporting cash or coin with a value exceeding one hundred thousand dollars, are subject to the following provisions:

(1) The vehicle must be accompanied by at least two armed security guards qualified under chapter 18.170 RCW and chapter 308-18 WAC.

(2) When the vehicle is located in an unsecured area, one guard must remain within the area.

(3) Those portions of the vehicle surrounding the cargo and personnel must have a UL 752 Testing Certification to Level 1 Medium Powered Small Arms (MPSA); except that any vehicle owned by an armored car service and operated as an armored car prior to December 23, 1995, is exempt from this regulation.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-200, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-200, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-210 Change of carrier name and business structure.

(1) An application to change carrier name or business structure is required when:

(a) The carrier changes its registered name, with no change in ownership or business structure.

(b) The carrier changes its business structure:

(i) From an individual to a corporation or limited liability corporation (LLC), when the individual is the majority stockholder.

(ii) From an individual to a partnership, when the individual is the majority partner.

(iii) From a corporation or LLC to a proprietorship of the majority shareholder.

(iv) From a partnership to a proprietorship of the majority partner.

(c) The carrier changes its name because of a change in business structure from a partnership to a corporation or LLC when the partners are the majority stockholders in the same proportionate ownership.

(d) The carrier changes its name resulting from a change in business structure from a corporation or LLC to another corporation or LLC where both corporations are wholly owned by the same stockholders in the same proportions.

(2) A carrier must file a new permanent common carrier application when the resulting business entity does either more or less than assume all of the existing business.

(3) A carrier must file a new permanent common carrier application when the transaction involves the sale or acquisition of assets other than the property of the acquired or substituted business or if the carrier conducts different activities.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-210, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-210, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-220 Application for reinstatement of a canceled permit.

(1) A common carrier may apply to reinstate a canceled permit within ten months of the cancellation date provided the carrier:

(a) Corrects the cause of cancellation.

(b) Satisfies any outstanding fees or filings.

(2) If the common carrier does not file for reinstatement within ten months of cancellation, it must submit a new application for a common carrier permit under WAC 480-14-190 subject to all provisions in WAC 480-14-180.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-220, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-220, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-230 Suspension and cancellation of a permit.

A common carrier may not operate any of its equipment while its permit is suspended or canceled.

(1) Involuntary suspension.

(a) The commission may suspend or cancel a carrier's permit if the carrier fails to maintain evidence that it has insurance in effect for its operations as required by WAC 480-14-250.

(b) The commission will make a good faith effort to notify a carrier that its evidence of insurance is likely to become invalid. The commission may suspend or cancel any carrier who fails to maintain evidence of current insurance as required by WAC 480-14-250, whether or not it is able to provide advance notice.

(2) Voluntary cancellation. A carrier may request that its permit be canceled. The commission will enter an order canceling the permit. The commission will reinstate the permit, provided the carrier meets current entry requirements, if the carrier applies for reinstatement and pays the application fee within ten months of cancellation.

(3) Involuntary cancellation. The commission may cancel a permit because the carrier fails to:

(a) Pay required regulatory fees.

(b) Demonstrate that the carrier has corrected the conditions leading to suspension within the time defined in the order of suspension.

(d) Maintain evidence of insurance as required by WAC 480-14-250.

(4) Cancellation hearing. The commission will hold a hearing prior to canceling a carrier's authority, pursuant to RCW 81.80.280, except when cancellation results from:

(a) Failure to maintain evidence of current insurance as required by WAC 480-14-250 and an adjudication or brief adjudication was held or was available to the carrier.

(b) Failure to correct causes of a suspension in which an adjudication or brief adjudication was held or was available to the carrier.

(c) A carrier whose permit is canceled may apply for reinstatement under WAC 480-14-220, or may apply for a new permit under WAC 480-14-180, if the carrier has corrected the causes of cancellation.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-14-230, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-230, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-230, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-240 Inactive status of permits during military service.

(1) When the holder of a common carrier permit is called into or enters the military service of the United States and must cease its common carrier operations, the carrier may apply to the commission, at no charge, for inactive status. The written, informal application must include:

(a) The applicant's name and permit number.

(b) The branch of military service the applicant is to enter.

(d) A statement that the applicant will not permit its equipment to be operated under inactive status.

(2) Upon receipt of the properly completed application, the commission will place the permit in inactive status for the period of military service.

(3) The carrier must apply to reinstate its permit within six months after military service has ended. In its application, the carrier must state it will comply with the requirements of law governing its operations. The commission will grant reinstatement at no charge.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-240, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-240, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-250 Insurance requirements.

(1) Required insurance coverage. Each applicant for common carrier authority and each common carrier must file with the commission evidence of currently effective liability and property damage insurance written by a company authorized to write such insurance in the state of Washington or by an unauthorized insurer providing surplus lines coverage subject to the provisions of RCW 48.15.040, covering each motor vehicle as defined in RCW 81.80.010 used or to be used under the permit.

(a) For vehicles with gross vehicle weight ratings of 10,000 pounds or more, filings must be for the amount shown on the following table:

| Category of Carrier Operation | Filing Required | | | --- | --- | --- | | 1. | Property (nonhazardous) . . . . | $750,000 | | 2. | Hazardous substances, as defined in 49 Code of Federal Regulations (C.F.R.) 171.8 transported in cargo tanks, portable tanks, or hopper-type vehicles with capacities in excess of 3,500 water gallons; or in bulk Division 1.1, 1.2 and 1.3 materials, Division 2.3, Hazard Zone A, or Division 6.1, Packing Group I, Hazard Zone A material, in bulk Division 2.1 or 2.2; or highway route controlled quantities of a Class 7 material, as defined in 49 C.F.R. 173.403 . . . . | $5,000,000 | | 3. | Oil listed in 49 C.F.R. 172.101; hazardous waste, hazardous materials and hazardous substances defined in 49 C.F.R. 171.8 and listed in 49 C.F.R. 172.101, but not mentioned in 2. above or in 4. below . . . . | $1,000,000 | | 4. | Any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of a Division 2.3, Hazard Zone A, or Division 6.1, Packing Group I, Hazard Zone A material; or highway route controlled quantities of a Class 7 material, as defined in 49 C.F.R. 173.403 . . . . | $5,000,000 |

(b) For vehicles with gross vehicle weight ratings less than 10,000 pounds, filings shall be for the amounts shown on the following table:

| Category of Carrier Operation | Filing Required | | | --- | --- | --- | | 1. | Property (nonhazardous) . . . . | $300,000 | | 2. | Property (hazardous); any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of a Division 2.3, Hazard Zone A, or Division 6.1, Packing Group I, Hazard Zone A material; or highway route controlled quantities of a Class 7 material, as defined in 49 C.F.R. 173.403 . . . . | $5,000,000 | | | | |

(c) Insurance requirements do not apply to taxicabs whose only operation subject to commission jurisdiction is the operation of small parcel general freight service under a permit issued pursuant to chapter 81.80 RCW. Those taxicabs must comply with the provisions of RCW 46.72.040 and 46.72.050 in lieu of the above. However, all carriers must comply with the reporting requirements of this section.

(d) The commission may dismiss an application or suspend or cancel a permit if a carrier does not file proof that such insurance is in full force and effect.

(e) Carriers must submit evidence of insurance by a Uniform Motor Carrier Bodily Injury and Property Damage Liability Certificate of Insurance (Form E), Uniform Motor Carrier Bodily Injury and Property Damage Liability Surety Bond (Form G), or a written binder evidencing the required coverage. A binder may not be effective for longer than 60 days, during which time the carrier must file the Form E or Form G.

(2) Continuing proof of insurance. A carrier must file evidence of continued insurance with the commission not less than 10 days prior to the termination date of the current insurance.

(3) Insurance endorsement. All liability and property damage insurance policies issued to common carriers must carry a "uniform motor carrier bodily injury and property damage liability endorsement."

(4) Insurance termination. All insurance policies issued under the requirements of chapter 81.80 RCW must provide that the coverage continues in full force and effect unless and until canceled by at least 30 days' written notice served on the insured and the commission by the insurance company. The 30 days' notice must commence to run from the date the notice is actually received by the commission.

(a) An insurance binder may be canceled on 10 days' written notice.

(b) The carrier or carrier's insurance company must notify the commission of cancellation or expiration by filing a Notice of Cancellation (Form K) no less than 30 days before the cancellation or expiration effective date.

(c) The carrier or carrier's insurance company must provide notice of cancellation or expiration not more than 60 days before the termination date, except binders which may be canceled on 10 days' written notice.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-14-250, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-14-250, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-250, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-14-250, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-250, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-290 Interstate operations.

No person may perform interstate transportation service for compensation upon the public roads of this state without first having secured appropriate authority from the United States Department of Transportation (USDOT) or its successor agency.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-290, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-290, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-300 Interstate carrier fees.

A carrier operating under interstate authority issued by the United States Department of Transportation (USDOT) or its successor agency must register with the commission and pay fees as required by the Uniform Carrier Registration (UCR) program or any successor program as required by the laws and rules of USDOT.

History

Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-300, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040 and 34.05.350. WSR 95-24-001 (Order R-435, Docket No. TV-941290), § 480-14-300, filed 11/22/95, effective 12/23/95.

Wash. Admin. Code § 480-14-999 Adoption by reference.

WAC 480-14-999

In this chapter, the commission adopts by reference all or portions of regulations and standards identified below. They are available for inspection at the commission library. The publication, effective dates, references within this chapter, and availability of the resource is within Title 49 Code of Federal Regulations (C.F.R.), including all appendices and amendments is published by the United States Government Printing Office.

(1) The commission adopts the version in effect on December 31, 2025, for 49 C.F.R. Parts 171, 172 and 173.

(2) This publication is referenced in WAC 480-14-250 (Insurance requirements).

(3) Copies of Title 49 C.F.R. are available from the U.S. Government Online Bookstore, https://bookstore.gpo.gov/, and from various third-party vendors.

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 26-14-045, s 480-14-999, filed 6/25/26, effective 7/26/26. Statutory Authority: RCW 80.10.040, 80.04.160, 81.04.160, and 34.05.353. WSR 25-15-030, s 480-14-999, filed 7/8/25, effective 8/8/25. Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-14-999, filed 6/18/24, effective 7/19/24
WSR 23-13-003, § 480-14-999, filed 6/7/23, effective 7/8/23
WSR 22-15-104, § 480-14-999, filed 7/19/22, effective 8/19/22
WSR 21-13-130, § 480-14-999, filed 6/22/21, effective 7/23/21
WSR 19-14-118, § 480-14-999, filed 7/3/19, effective 8/3/19
WSR 18-13-106, § 480-14-999, filed 6/19/18, effective 7/20/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 17-15-054 (Docket A-170015, General Order R-589), § 480-14-999, filed 7/13/17, effective 8/13/17
WSR 16-05-035 (Docket A-151884, General Order R-585), § 480-14-999, filed 2/9/16, effective 3/11/16
WSR 15-06-048 (Docket A-143302, General Order R-579), § 480-14-999, filed 3/2/15, effective 4/2/15
WSR 14-05-001 (Docket A-131761, General Order R-574), § 480-14-999, filed 2/5/14, effective 3/8/14
WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-14-999, filed 2/11/13, effective 3/14/13
WSR 12-05-063 (Docket A-111722, General Order R-564), § 480-14-999, filed 2/15/12, effective 3/17/12. Statutory Authority: RCW 80.01.040 and 81.04.160. WSR 09-22-057 (Order R-555, Docket TV-090400), § 480-14-999, filed 10/30/09, effective 11/30/09. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 09-01-171 (Docket A-081419, General Order R-554), § 480-14-999, filed 12/23/08, effective 1/23/09
WSR 06-17-087 (Docket A-060475, General Order No. R-537), § 480-14-999, filed 8/14/06, effective 9/14/06
WSR 05-21-022 (Docket No. A-050271, General Order No. R-521), § 480-14-999, filed 10/10/05, effective 11/10/05
WSR 04-01-152 (General Order No. R-511, Docket No. A-030852), § 480-14-999, filed 12/22/03, effective 1/22/04
WSR 02-18-033 (Docket No. A-020379, General Order No. R-501), § 480-14-999, filed 8/26/02, effective 9/26/02. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-14-999, filed 9/28/01, effective 10/29/01.

Chapter 480-15 Household goods carriers.

Wash. Admin. Code § 480-15-010 Purpose and application.

(1) These rules implement the policies in RCW 81.80.020 as they apply to household goods carriers. The rules establish standards for public safety, fair competitive practices, just and reasonable charges, nondiscriminatory application of rates, adequate and dependable service and consumer protection, as well as compliance with statutes, rules and commission orders.

(2) This chapter applies to all intrastate household goods carriers.

(3) Nothing in this chapter relieves any household goods carrier from its duties and obligations under the laws of the state of Washington including, but not limited to, public utility, labor, employment, and other taxes, and business and vehicle licensing requirements.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-010, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-010, filed 6/27/00, effective 7/28/00. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-010, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-020 Definitions.

For the purpose of this chapter, the words, terms, and phrases in this section have the following meaning:

Accessorial services: Any service provided by a household goods carrier that supplements, or is incidental to, the transportation of household goods. Examples include packing, unpacking, wrapping, or protecting a portion of the shipment or providing special equipment or services such as hoisting.

Agent: A permitted carrier, who, under the provisions of a formal written agreement, performs services on behalf of another permitted carrier.

Application docket: A commission publication listing applications requesting operating authority.

Authority: The rights granted to a carrier to transport household goods.

Cancellation: An act by the commission to terminate a household goods carrier's authority.

Carrier, household goods carrier, or motor carrier: A person who transports for compensation, by motor vehicle within this state, or who advertises, solicits, offers, or enters into an agreement to transport household goods.

Commercial motor vehicle: Any motor vehicle used by a household goods carrier to transport household goods, if either the vehicle has a gross vehicle weight rating or gross combination weight rating of 10,001 pounds or more or if the gross vehicle weight or gross combination weight is 10,001 pounds or more.

Commission: The Washington utilities and transportation commission.

Customer: Anyone who hires a household goods carrier.

Engaging in business as a household goods carrier: Transporting household goods for compensation, by motor vehicle within this state, or advertising, soliciting, offering, or entering into an agreement to transport household goods.

Estimate:

(a) Nonbinding estimate: The written estimate the carrier gives to the customer in advance of the move. A nonbinding estimate is not binding on the mover. The final charges will be based upon the actual cost of the move and the services provided, although a carrier may not charge more than 25 percent over the nonbinding estimate.

(b) Binding estimate: The written estimate the carrier gives to the customer in advance of the move, signed by the carrier and the customer, and by which both the carrier and customer are bound. The carrier may not charge any amount other than the binding estimate and the customer must pay the amount of the binding estimate.

(c) Supplemental estimate: An amendment to the original nonbinding estimate, necessary when the circumstances of a move change in a way from the original written estimate that increases the cost of the move.

Exempt motor carrier: Any person operating a motor vehicle exempt from certain provisions of Title 81 RCW as defined in RCW 81.80.040.

Filing: Any application, petition, tariff proposal, annual report, comment, complaint, pleading, or other document submitted to the commission.

Household goods: The personal effects and property used, or to be used, in a residence when transported or arranged to be transported between residences or between a residence and a storage facility with the intent to later transport to a residence or when referenced in connection with advertising, soliciting, offering, or entering into an agreement for such transportation. Transportation of the goods must be arranged and paid for by the customer or by another individual, company, or organization on behalf of the customer.

Local move: A move taking place within the limits of a city or town or moves where the shipment is transported 55 miles or less.

Long distance move: A move where the shipment is transported 56 miles or more.

Motor vehicle or vehicle: Any vehicle, machine, tractor, trailer, or semi-trailer propelled or drawn by mechanical power, or any combination of such vehicles, used on the public roads to transport household goods.

Permit: A document issued by the commission describing the authority granted to a household goods carrier.

Person: Any individual, firm, corporation, company, or partnership.

Private carrier: Persons who transport their own household goods, transport household goods bought or sold by them or transport household goods purely as an incidental adjunct to an established business.

Shipment: A load of household goods moved by a carrier from a single residence or as a single transaction.

State: The state of Washington.

Suspension: Also includes suspend, suspended, suspending: An act by the commission to withhold temporarily a household goods carrier's authority.

Tariff: A publication containing rates and charges carriers must assess on shipments of household goods and the rules that govern how rates and charges are assessed.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-020, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 34.05.353, and 2009 c 94. WSR 09-24-104 (Docket TV-091038, General Order R-556), § 480-15-020, filed 12/2/09, effective 1/2/10. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-020, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-020, filed 6/27/00, effective 7/28/00. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-020, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-025 Commission proceedings.

The commission's rules governing administrative practices and procedures are in chapter 480-07 WAC. When a rule in this chapter is different than a rule in chapter 480-07 WAC, the rule in this chapter applies to household goods carriers.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-025, filed 12/27/07, effective 1/27/08.

Wash. Admin. Code § 480-15-035 Exemptions from rules.

(1) The commission may grant an exemption of any rule in this chapter when doing so is consistent with the public interest, the purposes underlying regulation, and applicable statutes.

(2) To request a rule exemption, a company must file with the commission a written request identifying the rule for which an exemption is sought and giving a full explanation of the reason the exemption is requested.

(3) The commission will assign the request a docket number, if needed, and schedule the request for consideration at one of its regularly scheduled open meetings or, if appropriate under chapter 34.05 RCW, in an adjudication. The commission will notify the company requesting the exemption, and other interested persons, of the date the commission will consider the request.

(4) The commission will issue an order granting, denying, or modifying the request or setting it for hearing, pursuant to chapter 480-07 WAC.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-035, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-15-035, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-035, filed 6/27/00, effective 7/28/00.

Wash. Admin. Code § 480-15-055 Payment to the commission.

Carriers or other persons may pay required fees, penalties or other assessments by money order, check, certified check, credit or debit card or by electronic payment payable to the utilities and transportation commission. The commission will accept cash if a payment is made in person. The commission accepts only United States funds.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-055, filed 12/27/07, effective 1/27/08.

Wash. Admin. Code § 480-15-065 Address or telephone change.

If a carrier changes its physical or mailing business address, email address or telephone number, it must immediately notify the commission in writing at the address listed in WAC 480-07-125.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-065, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-065, filed 12/27/07, effective 1/27/08.

Wash. Admin. Code § 480-15-145 Enforcement.

The commission has a number of options available to enforce its statutes, rules, orders and tariff requirements, as follows:

(1) RCW 81.04.110 allows the commission to file a complaint and hold a hearing.

(2) RCW 81.04.260 allows the commission to file in court for an immediate injunction for violations of law, commission rule, order, direction or requirement of the commission.

(3) RCW 81.04.380 allows penalties against public service companies of up to one thousand dollars for each violation for each day the violation occurs or continues to occur.

(4) RCW 81.04.387 allows penalties against corporations, other than public service companies, of up to one thousand dollars for each offense.

(5) RCW 81.04.390 provides that violations may be treated as misdemeanors.

(6) RCW 81.04.405 allows penalties of one hundred dollars for each violation for each day the violation occurs or continues to occur. These penalties are issued through a penalty assessment with a fifteen-day response period.

(7) RCW 81.04.510 allows the commission to issue cease and desist orders against a carrier operating without a permit.

(8) Section 4(5), chapter 94, Laws of 2009 (HB 1536), allows a penalty of up to ten thousand dollars per violation for any person who engages in business as a household goods carrier in violation of a cease and desist order.

(9) RCW 81.80.280 allows the commission to cancel, suspend, alter, or amend a permit for violations of federal or state law, or commission rule.

(10) Section 4(4), chapter 94, Laws of 2009 (HB 1536), allows a penalty of up to five thousand dollars to any carrier operating without a permit. If the basis for the violation is advertising, each advertisement reproduced, broadcast, or displayed via a particular medium constitutes a separate violation.

(11) RCW 81.80.355 provides that advertising without a permit may be treated as a misdemeanor.

(12) RCW 81.80.357 allows a penalty of five hundred dollars for each violation when a carrier does not include its permit number, physical address, and telephone number in its advertisements.

(13) WAC 480-120-172 allows a telecommunications company to disconnect a customer's service if that service is used for illegal purposes, such as operating without a permit issued by the commission.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 34.05.353, and 2009 c 94. WSR 09-24-104 (Docket TV-091038, General Order R-556), § 480-15-145, filed 12/2/09, effective 1/2/10. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-145, filed 12/27/07, effective 1/27/08.

Wash. Admin. Code § 480-15-180 Carrier operations that require a household goods permit.

A carrier must receive a permit from the commission before transporting household goods, for compensation, by motor vehicle over public roads between two points within the state, or before advertising, soliciting, offering, or entering into an agreement to transport household goods.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-180, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 34.05.353, and 2009 c 94. WSR 09-24-104 (Docket TV-091038, General Order R-556), § 480-15-180, filed 12/2/09, effective 1/2/10. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-180, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-180, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-181 Operations that do not require a household goods permit.

A company's operations do not require a permit from the commission when the company:

(1) Moves commercial or office goods, except when part of a household goods moves.

(2) Transports goods that are packed and loaded on the vehicle and unloaded by the customer.

(3) Transports goods which are loaded in customer packed and sealed self-storage type containers in conjunction with storage when no accessorial services are provided by the company.

(4) Uses a truck the customer owns or rents, even if the company does the packing and loading.

(5) Packs and loads the goods but does not transport the belongings.

(6) Moves goods interstate.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-181, filed 12/27/07, effective 1/27/08.

Wash. Admin. Code § 480-15-185 Types of household goods permits.

There are two types of household goods permits.

(1) Provisional permit: An applicant must complete a household goods moving company permit application to receive a provisional permit. A provisional permit lasts for a period of not less than six months. In determining whether to grant provisional authority, the commission will consider the criteria outlined in WAC 480-15-302.

(2) Permanent permit: Once the applicant has held a provisional permit for at least six months, the commission will consider whether to grant the applicant a permanent permit. A permanent permit has no expiration date. The applicant does not need to file a second application for permanent authority. In determining whether to grant permanent authority, the commission will consider the criteria outlined in WAC 480-15-305.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-185, filed 6/7/12, effective 7/8/12. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-185, filed 12/27/07, effective 1/27/08.

Wash. Admin. Code § 480-15-186 Application required for new authority to operate as a household goods carrier.

An applicant must complete a household goods moving company permit application and meet the criteria for a provisional permit and, after the provisional period has passed, meet the criteria for a permanent permit, as described in WAC 480-15-305, to receive new authority to operate as a household goods carrier.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-186, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-186, filed 6/7/12, effective 7/8/12.

Wash. Admin. Code § 480-15-187 Transfer of an existing permit.

(1) If the holder of a permit wishes to transfer the permit, the person or entity receiving the permit must complete a household goods moving company permit application on a form provided by the commission. The person or entity receiving the permit is the applicant. The applicant must meet the criteria for a provisional permit and, after the provisional period has passed, meet the criteria for a permanent permit as described in WAC 480-15-305 unless the applicant qualifies for the exceptions described in subsection (2) or (3) of this section.

(2) If the transfer is due to one of the following reasons, the commission will grant permanent authority to the applicant without requiring a provisional permit, public notice, or comment provided that the applicant is fit, willing, and able to provide service and the applicant has filed to transfer permanent authority for any one of the following reasons:

(a) A partnership has dissolved due to the death, bankruptcy or withdrawal of a partner and that partner's interest is being transferred to a spouse or to one or more remaining partners.

(b) A shareholder in a corporation has died and that shareholder's interest is being transferred to a surviving spouse or one or more surviving shareholders.

(c) A sole proprietor has died, the sole proprietor devised or bequeathed the company by will, and the applicant is seeking transfer of the permit in accordance with the bequest or devise set forth in the will.

(d) An individual has incorporated and the same individual remains the majority shareholder.

(e) An individual has added a partner but the same individual remains the majority partner.

(f) A corporation has dissolved and the interest is being transferred to the majority shareholder.

(g) A partnership has dissolved and the interest is being transferred to the majority partner.

(h) A partnership has incorporated, and the partners are the majority shareholders.

(i) Ownership is being transferred from one corporation to another corporation when both are wholly owned by the same shareholders.

(3) The commission will grant an application for permanent authority without requiring a provisional permit after the application has been published on the application docket subject to comment for thirty days if the applicant is fit, willing, and able to provide service, the applicant has filed to transfer control of permanent authority, and all of the following conditions exist:

(a) Ownership of a permit is being transferred to any shareholder, partner, family member, employee, or other person familiar with the company's operations and the household goods moving services provided.

(b) The permit has been actively used by the current owner to provide household goods moving services during the twelve-month period prior to the application.

(c) The application includes a certified statement from the applicant and the current owner explaining why the transfer is necessary to ensure the company's economic viability.

(d) The application includes a certified statement from the applicant and the current owner describing the steps taken by the parties to ensure that safe operations and continuity of service to customers is maintained.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-187, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-187, filed 6/7/12, effective 7/8/12.

Wash. Admin. Code § 480-15-190 Service territory.

Household goods permits authorize statewide operations unless:

(1) An applicant elects to limit the service territory to specific counties; or

(2) The commission, by order, limits an applicant's service territory.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-190, filed 6/7/12, effective 7/8/12. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-190, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-190, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-230 Application fees.

Application fees are:

| Type of Permit Application: | Fee: | | | --- | --- | --- | | Provisional and permanent authority. The fee for provisional, and then permanent, authority is a one-time fee | $550.00 | | | Transfer of authority under WAC 480-15-187 | $250.00 | | | Permit reinstatement under WAC 480-15-450 | $250.00 | | | Name change only | $35.00 | |

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-230, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-230, filed 6/7/12, effective 7/8/12. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-230, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-230, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-302 Provisional authority.

The commission will grant provisional authority to any applicant that meets the following criteria:

(1) The applicant has properly completed the household goods moving company permit application.

(2) The application does not contain any indication of fraud, misrepresentation, or erroneous information.

(3) The applicant has provided a copy of a valid driver's license or government-issued photo identification card for each person named in the application associated with the proposed moving company.

(4) The applicant has provided evidence that the applicant possesses sufficient financial resources to operate a moving company. The commission will accept as evidence the completed financial statement form included in the household goods moving company permit application or the alternative documents listed on the financial statement form.

(5) The applicant has met the liability and cargo insurance requirements of WAC 480-15-530 and 480-15-550.

(6) The applicant has provided evidence of compliance with state tax, labor, employment, business, and vehicle licensing laws and rules. The commission will accept valid account numbers that staff can verify, showing the applicant has established accounts with other state agencies, as evidence.

(7) The applicant has provided evidence of its enrollment in a drug and alcohol testing program, or evidence that it has in place its own drug and alcohol testing program, if required by WAC 480-15-570. The commission will accept proof of enrollment in a program, or a detailed description of the applicant's own program, as evidence.

(8) Commission staff has completed a criminal background check on each person named in the application associated with the proposed moving company.

(a) The commission will not grant provisional authority if any named person has, within the past five years, been convicted of any crime involving theft, burglary, assault, sexual misconduct, identity theft, fraud, false statements, or the manufacture, sale, or distribution of a controlled substance.

(b) If a person named in the application has been convicted of any crime involving theft, burglary, assault, sexual misconduct, identity theft, fraud, false statements, or the manufacture, sale, or distribution of a controlled substance more than five years prior to the date of the application and the commission determines that the nature or extent of the crime(s) will likely interfere with the proper operation of a household goods moving company, the commission will deny operating authority to the applicant.

(9) The applicant owns or leases the equipment necessary to provide household goods moving services.

(10) The commission has not denied a household goods moving company permit application within the previous six months filed by the same applicant or by any other person named on the application.

(11) The commission has not canceled, for cause, a permit held by the applicant, or by any other person named on the application, within the previous twelve months.

(12) The applicant has filed with the application at least three completed statements of support for the proposed service.

(13) No other circumstances exist that cause the commission to deny the application.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-302, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-302, filed 6/7/12, effective 7/8/12.

Wash. Admin. Code § 480-15-305 Permanent authority.

(1) The commission will grant permanent authority to any applicant that meets the following criteria:

(a) The applicant has met all of the criteria required for a provisional permit as described in WAC 480-15-302.

(b) The applicant has completed a provisional period of not less than six months and not more than eighteen months from the date the provisional permit was issued unless the commission determines that for good cause the provisional period should be extended beyond eighteen months. Good cause may include, among other circumstances, a carrier that has not yet made an intrastate move or a carrier that has not yet achieved a satisfactory safety rating but is making substantial progress toward a satisfactory rating.

(d) The applicant has provided commission staff with evidence that the applicant has completed a criminal background check on each person it employs or intends to employ. The commission will not grant permanent authority if any employee has, within the past five years, been convicted of any crime involving theft, burglary, assault, sexual misconduct, identity theft, fraud, false statements, or the manufacture, sale, or distribution of a controlled substance.

(e) The applicant has received a satisfactory safety rating in a safety review conducted by commission safety staff.

(f) The applicant has no outstanding commission-issued monetary penalties.

(g) The applicant has paid all outstanding fees or other amounts due to the commission.

(h) The applicant has met all other commission regulatory requirements, including any requirements set by statute, rule, tariff, or order.

(i) The applicant has no unresolved consumer complaints on file with the commission.

(j) No other circumstances exist that cause the commission to deny permanent authority.

(2) The commission will not grant permanent authority if an employee has been convicted of any crime involving theft, burglary, assault, sexual misconduct, identity theft, fraud, false statements, or the manufacture, sale, or distribution of a controlled substance more than five years prior to the date of the application and the commission determines that the nature or extent of the crime(s) will likely interfere with the proper operation of a household goods moving company.

(3) If the carrier has not completed the requirements for permanent authority within eighteen months of the date the provisional permit was issued, the commission will cancel the provisional permit and dismiss the application for permanent authority, unless the commission determines that for good cause the provisional period should be extended beyond eighteen months. Good cause may include, among other circumstances, a carrier that has not yet made an intrastate move or a carrier that has not yet achieved a satisfactory safety rating but is making substantial progress toward a satisfactory rating.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-305, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-305, filed 6/7/12, effective 7/8/12.

Wash. Admin. Code § 480-15-340 Commenting on an application for permanent authority.

(1) The commission publishes applications for permanent authority in the application docket that it mails to each applicant and, upon written request, to any other person interested in application proceedings.

(2) Anyone having an interest in an application appearing on the docket may file written comments within thirty days following publication, unless the application is published in conjunction with a grant of provisional authority. If the permanent authority application is published in conjunction with a grant of provisional authority, then comments will be accepted for one hundred eighty days or the full term of the provisional permit.

(3) Comments may either support or protest the application. Comments must include the commenter's full name, address, telephone number, email address, fax number, and permit number, if available. Comments must be signed and indicate the place and date when they were signed. Comments must indicate support for, or protest of, the permanent authority for any one or more of the following reasons:

(a) Fitness.

(b) Public interest.

(d) Business practices.

(e) Safety.

(f) Operation of equipment.

(g) Current or future public need for service.

(4) A comment protesting an application will not, on its own, cause the commission to set the matter for a hearing.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.80.075. WSR 12-13-007 (Docket TV-111493, General Order R-565), § 480-15-340, filed 6/7/12, effective 7/8/12. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-340, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-340, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-350 Setting an application for hearing.

The commission may hold a hearing or brief adjudicative proceeding on any application for permanent authority if it is necessary to resolve outstanding issues or concerns related to fitness, public interest, public convenience and necessity or any other issue resulting from a compliance review, audit, inspection report, complaint or public comment. See chapter 480-07 WAC for rules governing hearings and brief adjudicative proceedings.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-350, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-15-350, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-350, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-360 Retaining copies of the permit.

Carriers must keep the original permit in their main office and carry a copy in each vehicle used to transport household goods. Carriers must show a copy of the permit to any law enforcement or compliance officer who asks to see it.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-360, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-360, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-370 Lost or destroyed permit.

Carriers may write to the commission and request replacement of a lost or destroyed permit. The commission will issue a replacement permit at no charge.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-370, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-370, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-380 Allowing others to use permit authority.

Intrastate carriers may not allow others to transport household goods under their permit authority. Only the lawful permit holder may conduct operations under a household goods permit. Carriers may not lease permit authority, but may lease vehicles from others for use in their own operations pursuant to the leasing rules in WAC 480-15-590 and 480-15-600.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-380, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-380, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-390 Permit names or trade names.

(1) A carrier must conduct operations under the exact name shown on its household goods permit. If a carrier does business under a trade or assumed name, that name must also appear on the permit.

(2) A carrier may not operate under a name that is similar to another carrier unless one of the following conditions applies:

(a) The carrier whose name is similar has given written permission to use the name.

(b) The commission authorizes use of the similar name. Before authorizing use of a similar name, the commission must first determine that the use of the similar name will not mislead the shipping public or result in unfair or destructive competitive practices.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-390, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-390, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-400 Changing the name on a permit.

(1) Carriers must file a name change application to change the name on a permit, to add a trade name to the permit, or remove a trade name from the permit.

(2) Carriers must include the application fee (as shown in WAC 480-15-230), copies of any corporate minutes authorizing the name change and proof that the carrier has properly registered the new name with the department of licensing, office of the secretary of state or other agencies as may be required.

(3) Carriers must also submit to the commission a Uniform Motor Carrier Bodily Injury and Property Damage Liability Certificate of Insurance (Form E) or Uniform Motor Carrier Bodily Injury and Property Damage Liability Surety Bond (Form G) in its changed name and proof of required cargo insurance (Certificate of Liability Insurance or Form H Uniform Motor Carrier Cargo Certification of Insurance) in its changed name.

(4) Carriers must file an application to transfer permanent authority if the name change is the result of a change in ownership or controlling interest.

(5) Carriers may not advertise or operate under the proposed name change until the commission approves the application.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-400, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-400, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-400, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-410 Voluntary suspension of a permit.

(1) If a carrier is unable to use its permit due to medical reasons or because of active military service, it may request the authority be voluntarily suspended.

(2) The carrier must send its request to the commission in writing and include the following information:

(a) Name, address, and permit number.

(b) The reason for the request (e.g., medical statement, military orders).

(d) The length of time the carrier will be unable to use the permit.

(e) A statement that no household goods transportation will occur under the permit while it is suspended.

(3) The commission will issue an order suspending the permit. The order will set the length of time and the terms of suspension.

(4) To activate a suspended permit, a carrier must send the commission a letter advising that it is ready to resume household goods service and agree to conduct operations in compliance with all laws and rules. The carrier must satisfy any outstanding filing requirements before the commission will issue an order lifting the suspension.

(5) If the carrier does not activate the permit before the suspension period expires, the commission may cancel the permit.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-410, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-410, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-420 Voluntary cancellation of a permit.

If a carrier no longer wants to use its permit, the carrier may send the commission a written request that it be canceled. The cancellation request must include the carrier's name, address and permit number. The commission will issue an order canceling the permit.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-420, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-420, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-420, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-430 Involuntary suspension of a permit.

(1) The commission may suspend a permit without the carrier's authorization for good cause. Good cause includes, but is not limited to, the carrier:

(a) Failing to maintain evidence of required cargo insurance coverage for all areas of its operations as required by WAC 480-15-550.

(b) Failing to maintain evidence of required liability insurance coverage for all areas of its operations as required by WAC 480-15-530.

(d) Failing or refusing to comply with applicable laws and commission rules pertaining to operations of household goods carriers, including safety requirements set in law or rule.

(e) Allowing others to transport goods under the carrier's permit authority.

(f) Committing fraud.

(g) Failing to meet the requirements of WAC 480-15-555, Criminal background checks for prospective employees.

(2) The commission may suspend a permit without an opportunity for hearing if there is imminent danger to the public health, safety or welfare and there is insufficient time to conduct a hearing.

(3) The commission will send the carrier notice of its action to suspend the carrier's permit. The suspension begins on the effective date listed in the notice.

(4) A carrier may contest the suspension of its permit by requesting a hearing or brief adjudicative proceeding. Chapter 480-07 WAC describes the procedures for such hearings.

(5) The commission will lift the suspension of the permit after the carrier corrects all conditions leading to the suspension.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-430, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-430, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-430, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-450 Involuntary cancellation of a permit.

(1) The commission may cancel a permit without the carrier's authorization for good cause. Good cause includes, but is not limited to, the carrier:

(a) Failing to file an annual report or pay required regulatory fees.

(b) Failing to correct, within the time frame specified in the suspension order, all conditions that led to the suspension of a permit.

(c) Failing to maintain evidence of required liability insurance coverage for all areas of its operations as required by WAC 480-15-530.

(d) Failing to maintain evidence of required cargo insurance coverage for all areas of its operations as required by WAC 480-15-550.

(e) Failing to comply with applicable laws and commission rules pertaining to operations of household goods carriers, including safety requirements set in law or rule.

(f) Failing to supply information necessary to the commission for the performance of its regulatory functions when the commission requests the carrier to do so.

(g) Submitting false, misleading or inaccurate information.

(h) Allowing others to transport goods under the carrier's permit authority.

(i) Operating in a manner that constitutes unfair or deceptive business practices.

(j) Committing fraud.

(k) Failing to meet the requirements of WAC 480-15-555, Criminal background checks for prospective employees.

(2) The commission will hold a hearing prior to canceling a permit unless the permit is subject to cancellation because the carrier:

(a) Failed to maintain evidence of current liability insurance as required by WAC 480-15-530 or failed to maintain evidence of current cargo insurance as required by WAC 480-15-550 and an adjudication or brief adjudication was held or was available to the carrier.

(b) Failed to correct causes of a suspension in which an adjudication or brief adjudication was held or was available to the carrier.

(3) When the commission has canceled a household goods carrier permit, the carrier must, when directed by the commission, provide notice to every customer that its permit has been canceled, and provide proof of such notice to the commission.

(4) If the permit is canceled and the carrier corrects all conditions that led to cancellation of the permit, the carrier may apply for reinstatement.

(a) To reinstate the permit within thirty days of cancellation, the carrier must file an application for reinstatement and pay the applicable reinstatement fees as stated in WAC 480-15-230.

(b) If the carrier files an application for reinstatement after thirty days of cancellation, the application will be considered in all aspects to be an application for new authority and will be subject to all terms and conditions specified in WAC 480-15-302 for new entrants.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-450, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 34.05.353, and 2009 c 94. WSR 09-24-104 (Docket TV-091038, General Order R-556), § 480-15-450, filed 12/2/09, effective 1/2/10. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-450, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-450, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-480 Annual reports and regulatory fees.

(1) An annual report is a year end statement that discloses information to the commission about regulated companies.

(a) Carriers must report information as required in the annual report forms.

(b) The commission will mail annual report forms and instructions to each household goods permit holder at its address of record. If a carrier does not receive an annual report form, it is the carrier's responsibility to contact the commission and request the form.

(2) A regulatory fee is an annual assessment paid by each household goods carrier to cover the costs of regulating the household goods industry. The commission reviews the costs of regulating the industry and sets fees proportionate to costs, although not above the maximum amount allowed by law.

(3) Regulatory fees are calculated as a percentage of intrastate gross operating revenues generated from the transportation of household goods during the prior calendar year. For example:

| Gross operating revenue | $100,000 | | | --- | --- | --- | | Times the regulatory fee percentage | .0025 | | | Equals the regulatory fee due | $250 | |

(4) Carriers must file annual reports and pay regulatory fees by May 1st of each year based on the prior year's operations. The commission must receive both the annual report and the regulatory fee payment no later than May 1.

(a) The commission will assess an automatic late fee of two percent of the amount due, plus one percent interest for each month after that, for any regulatory fees not received by May 1.

(b) The commission may issue penalty assessments or cancel a carrier's permit for failure to pay regulatory fees or file annual reports.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-480, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-480, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-490 Tariff and rates, general.

(1) A tariff is a publication containing the rates and charges that household goods carriers must assess on shipments of household goods, including rules that govern how rates and charges are assessed.

(2) The commission publishes tariffs that all household goods carriers must use and allows household goods carriers to file individual tariffs if the commission finds it is impractical to include certain commodities or services in its tariff.

(3) All household goods carriers are required to follow the terms, conditions, rates and all other requirements imposed by the commission-published tariff.

(4) The commission will set minimum and maximum rates carriers may charge within the tariff.

(5) Every household goods permit holder must obtain at least one copy of the current tariff, and may pay applicable tariff maintenance fees. Any interested person may purchase a copy by paying the applicable fees in advance.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-490, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-490, filed 6/27/00, effective 7/28/00. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-490, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-500 Tariff maintenance and fees.

(1) The commission may charge tariff maintenance fees on an annual basis.

(2) The commission may bill any applicable tariff maintenance fees by December 1 of each year. When billed, companies and other tariff subscribers must pay the bill by December 31.

(a) If a tariff subscriber does not have a permit and fails to pay the billed maintenance fee by December 31, the commission may cancel the tariff subscription. To reinstate a subscription, the tariff subscriber must obtain a new original copy of the tariff and pay all applicable maintenance fees.

(b) If a tariff subscriber has a permit and fails to pay billed tariff fees by December 31, the commission may take administrative action against the household goods carrier to suspend or cancel the permit, or to assess penalties.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-500, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-500, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-510 Changing commission-published tariffs.

(1) Companies holding temporary or permanent household goods authority may propose changes to the tariff. In addition, the commission may, on its own motion, propose tariff changes.

(2) Companies must send all proposed changes to the commission's mailing address. Proposed changes must meet all of the following:

(a) Be in writing.

(b) Identify the tariff item to be changed.

(d) State clearly the reason(s) for the proposed change.

(e) Include any information or documents that justify the proposed change (the person proposing the change must prove the change is just and reasonable).

(f) Identify the name, address, title, telephone number, email address, permit number and fax number (if any) of the person the commission should contact regarding the proposal.

(3) When the commission receives a proposed tariff change, it will:

(a) Assign a docket number.

(b) Schedule each docketed proposal for tariff change for consideration at a regularly scheduled open public meeting.

(d) If the application for tariff change is suspended, the commission will process the application under the procedures set forth in chapter 480-07 WAC.

(4) Approved changes are not effective until the commission publishes and distributes a revised tariff page with a stated effective date.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-510, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-15-510, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-510, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-520 Individual carrier tariffs.

(1) To file an individual tariff or to amend an approved individual tariff already on file with the commission, a carrier must submit all of the following:

(a) A cover letter requesting permission to publish and file an individual tariff. The letter must describe the reasons the carrier believes permission should be granted. The letter should state the reasons it is impractical for the commission to publish a tariff for the commodities or services contained in the proposed tariff.

(b) Two copies of the proposed tariff. The proposed tariff must comply with the tariff drafting standards in chapter 480-149 WAC.The proposed tariff must contain all rates, charges, and rules the company will use if granted approval to publish and file an individual tariff.

(2) When an individual carrier filed tariff is approved, the commission will issue an order stating the date on which the rates become effective. The commission will return one copy of the tariff marked "approved" to the company.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-520, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-15-520, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-520, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-530 Public liability and property damage insurance.

(1) Before operating under a household goods permit, carriers must have public liability and property damage insurance covering every motor vehicle used in its operations. The commission will not issue a permit for authority to operate without acceptable proof of required insurance coverage. Carriers must maintain the required public liability and property damage insurance at all times for every motor vehicle used in Washington intrastate operations.

(a) The policy must be written by an insurance company authorized to write insurance in Washington state or by an unauthorized insurer providing surplus lines coverage subject to the provisions of RCW 48.15.040, covering each motor vehicle as defined in RCW 81.80.010 used or to be used under the permit.

(b) The policy must include the Uniform Motor Carrier Bodily Injury and Property Damage Liability Certificate of Insurance (Form E) or Uniform Motor Carrier Bodily Injury and Property Damage Liability Surety Bond (Form G).

(c) The commission may suspend or cancel the permit of any carrier operating without proof of required insurance coverage.

(2) The minimum limits of required public liability and property damage insurance for motor vehicles operated by household goods carriers are as follows:

(a) At least $300,000 in combined single limit coverage for motor vehicles with a gross vehicle weight rating of 10,000 pounds or less.

(b) At least $750,000 in combined single limit coverage for motor vehicles with a gross vehicle weight rating of 10,001 pounds or more.

(3) Carriers must file a Uniform Motor Carrier Bodily Injury and Property Damage Liability Certificate of Insurance (Form E) or Uniform Motor Carrier Bodily Injury and Property Damage Liability Surety Bond (Form G) as a condition of maintaining a household goods permit.

(a) The Form E or Form G filing must be issued in the same name as the carrier's permit.

(b) The Form E or Form G filing must be continuous, until canceled by a Notice of Cancellation (Form K) filed with the commission no less than 30 days before the cancellation effective date.

(4)(a) The commission will accept an insurance certificate or binder for up to 60 days. A certificate or binder may be canceled by filing written notice with the commission at least 10 days before the cancellation effective date. A certificate or binder must be replaced by a Form E or Form G within 60 days of filing, or before the expiration date, whichever occurs first.

(b) Certificates or binders must include the following information:

(i) The commission as the named certificate holder.

(ii) The carrier's name, as it appears on the permit or application, as the insured.

(iii) The insurance company name.

(iv) The insurance policy number.

(v) The effective and expiration dates.

(vi) The insurance limits of coverage.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-530, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-530, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-530, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-530, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-550 Cargo insurance.

(1) Carriers must have cargo insurance coverage at the levels prescribed in subsection (2) of this section to protect all household goods transported under the permit. The commission will not issue a permit for authority to operate without acceptable proof of required cargo insurance coverage.

(2) The minimum limits of required cargo insurance are:

(a) Ten thousand dollars for household goods transported in motor vehicles with a gross vehicle weight rating of less than ten thousand pounds.

(b) Twenty thousand dollars for household goods transported in motor vehicles with a gross vehicle weight rating of ten thousand pounds or more.

(3) Carriers must provide proof of required cargo insurance (Certificate of Liability Insurance or Form H Uniform Motor Carrier Cargo Certification of Insurance) when they apply for a permit. In addition, carriers must have proof of cargo insurance at their main office available for inspection by commission representatives.

(4) The commission may suspend or cancel the permit of any carrier operating without required cargo insurance coverage.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-550, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-550, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-550, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-555 Criminal background checks for prospective employees.

(1) Each carrier must complete a national criminal background check for every person the carrier intends to hire.

(2) The carrier must keep evidence that it has completed a national criminal background check for every person the carrier intends to hire for as long as that person is employed and for three years after the person is no longer employed by the carrier.

(3) No carrier may hire a person who has been convicted of any crime involving theft, burglary, assault, sexual misconduct, identity theft, fraud, false statements, or the manufacture, sale, or distribution of a controlled substance within the past five years.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-555, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-555, filed 11/15/13, effective 12/16/13.

Wash. Admin. Code § 480-15-560 Vehicle and driver safety requirements.

(1) Household goods carriers must ensure that all vehicles and drivers used to provide household goods comply with all federal, state, and local laws and rules, and commission orders, governing licensing, vehicle safety, and driver safety. Carriers must also comply with parts of Title 49 Code of Federal Regulations (49 C.F.R.) shown in the following chart, that are adopted by reference. Information about 49 C.F.R. regarding the version adopted and where to obtain copies is set out in WAC 480-15-999.

| 49 C.F.R. Part: | Notes: | | | --- | --- | --- | | Part 40 - | Procedure for Transportation Workplace Drug and Alcohol Testing | Entire Part 40 is adopted and applies to Washington intrastate operations. | | Part 375 - | Transportation of Household Goods in Interstate Commerce; Consumer Protection Regulations | Applies only to interstate operations. | | Part 379 - | Preservation of Records | Entire Part 379 is adopted and applies to Washington intrastate operations. | | Part 380 - | Special Training Requirements | Entire Part 380 is adopted and applies to Washington intrastate operations. | | Part 382 - | Controlled Substance and Alcohol Use and Testing | Entire Part 382 is adopted and applies to Washington intrastate operations. | | Part 383 - | Commercial Driver's License Standards; Requirements and Penalties | Entire Part 383 is adopted and applies to Washington intrastate operations. | | Part 385 - | Safety Fitness Procedures | Entire Part 385 is adopted and applies to Washington intrastate operations. | | Part 390 - | Safety Regulations, General | Entire Part 390 is adopted and applies to Washington intrastate operations, with the following exceptions: | | | | (1) The terms "motor carrier," "motor vehicle," "commercial motor vehicle," "exempt motor carrier," and "private carrier" are not adopted. Instead, where those terms are used in 49 C.F.R., they have the meanings assigned to them in WAC 480-15-020. | | | | (2) Whenever the term "director" is used in 49 C.F.R., it means the commission. | | Part 391 - | Qualifications of Drivers | Entire Part 391 is adopted and applies to Washington intrastate operations, with the following exceptions: | | | | (1) A driver who operates exclusively in intrastate commerce is not subject to the provisions of Part 391.11 (b)(1) (general qualifications - age). A driver operating exclusively in intrastate commerce may drive a motor vehicle if they are at least 18 years of age. | | | | (2) A driver who operates exclusively in intrastate commerce is not subject to the provisions of Part 391.49 (Waiver of certain physical defects), if that driver has obtained from the Washington department of licensing, a driver's license with endorsements and restrictions allowing operation of the motor vehicle being driven. | | Part 392 - | Driving of Motor Vehicles | Entire Part 392 is adopted and applies to Washington intrastate operations. | | Part 393 - | Parts and Accessories Necessary for Safe Operation | Entire Part 393 is adopted and applies to Washington intrastate operations. | | Part 395 - | Hours of Service of Drivers | Entire Part 395 is adopted and applies to Washington intrastate operations. | | Part 396 - | Inspection, Repair, and Maintenance | Entire Part 396 is adopted and applies to Washington intrastate operations. | | Part 397 - | Transportation of Hazardous Materials, Driving and Parking Rules | Entire Part 397 is adopted and applies to Washington intrastate operations. |

(2) Companies must:

(a) Maintain all vehicles in a safe and sanitary condition.

(b) Ensure that vehicles are in proper working condition and repair all identified defects or deficiencies likely to result in an accident or breakdown.

(c) All motor vehicles must be equipped with fenders, covers, mud flaps, or splash aprons which effectively reduce the spray or splash of water from the road. All such devices must be as wide as the tires on which they are mounted and must extend from the top of the tires down to at least the center of the axle.

(3) All motor vehicles and drivers operating under the provisions of this chapter and used to provide permitted services are always subject to inspection by the commission or its duly authorized representatives. The commission will place out-of-service for the provision of household goods moving service any motor vehicle or the driver of that vehicle if the vehicle or driver meets any condition listed in the North American Uniform Out-of-Service Criteria. A company must not require or permit a vehicle or driver that has been placed out-of-service to operate until the condition(s) causing the out-of-service violation is corrected. Information about the North American Uniform Out-of-Service Criteria is set out in WAC 480-15-999.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-560, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-15-560, filed 1/25/11, effective 2/25/11. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-560, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-15-560, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-560, filed 6/27/00, effective 7/28/00. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-560, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-565 Motor vehicle identification.

(1)(a) A household goods carrier must display its permit name and number, as registered with the commission, on both sides of the self-propelled motor vehicle.

(b) The markings must be:

(i) Legible, during daylight hours, from 50 feet while the motor vehicle is not moving.

(ii) In a color that contrasts with the background color of the motor vehicle.

(iii) Permanent. Exception: Carriers may use temporary markings on vehicles when operated under a lease, when the rental agreement or lease has a term of 30 days or less.

(2) All carriers must display the U.S. Department of Transportation identification number on both sides of self-propelled motor vehicles.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-565, filed 7/13/23, effective 8/13/23.

Wash. Admin. Code § 480-15-575 Intrastate medical waivers.

(1) Department of licensing intrastate medical waiver. A household goods carrier may use a driver that is not physically qualified to drive a commercial motor vehicle under Title 49 C.F.R. Part 391.41, if the driver:

(a) Only operates motor vehicles intrastate, wholly within the state of Washington; and

(b) Has obtained from the Washington state department of licensing an intrastate medical waiver to drive a commercial motor vehicle.

For the purposes of a department of licensing medical waiver, a commercial motor vehicle means a motor vehicle:

(i) With a gross vehicle weight rating of 26,001 pounds or more;

(ii) Transporting 16 or more passengers, including the driver; or

(iii) With a manufacturer's seating capacity of 16 or more passengers, including the driver.

(2) Doctor's statement of intrastate medical waiver. A carrier may use a driver that is not physically qualified to drive a commercial motor vehicle under Title 49 C.F.R. Part 391.41 if the driver:

(a) Holds a valid Washington state driver's license;

(b) Has received a doctor's statement that:

(i) The driver's medical condition is not likely to interfere with the driver's ability to safely operate a commercial motor vehicle; and

(ii) The driver's condition is likely to remain stable for the next two years or other specified date, but not more than the two years that the medical certificate is valid.

(c) Operates commercial motor vehicles intrastate wholly within the state of Washington. For the purposes of a doctor's statement of intrastate medical waiver, a commercial motor vehicle means a motor vehicle:

(i) With a gross vehicle weight rating under 26,001 pounds;

(ii) Transporting 15 or fewer passengers, including the driver; or

(iii) With a manufacturer's seating capacity of 15 or fewer passengers, including the driver.

(3) Driver qualification files. Carriers that use a driver under an intrastate medical waiver must maintain in the driver's qualification file a physical or digital copy of the doctor's statement of intrastate medical waiver.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-575, filed 7/13/23, effective 8/13/23.

Wash. Admin. Code § 480-15-590 Leasing vehicles.

A carrier must enter into an equipment lease agreement before operating a leased motor vehicle. The carrier must ensure that all the following conditions are met:

(1) The carrier signs the form and ensures the lessor signs the form.

(2) A physical or digital copy of the lease is carried in all leased motor vehicles.

(3) A physical or digital copy of the lease is kept in the carrier's files during the effective period of the lease and for one year after the lease expires.

(4) The carrier gives a physical or digital copy of the lease to the owner of the leased motor vehicle.

(5) The carrier takes possession, control, and use of the motor vehicle during the period of the lease agreement.

(6) The leased motor vehicle is properly insured as specified in WAC 480-15-530 and 480-15-550.

(7) The carrier properly identifies the motor vehicle as specified in RCW 81.80.305.

(8) The carrier charges appropriate tariff rates and charges.

(9) The driver of the leased motor vehicle is on the carrier's payroll during the leased period.

(10) The leased motor vehicle is operated in compliance with laws and rules as specified in WAC 480-15-560 and 480-15-570.

(11) The driver of the leased motor vehicle is subject to the carrier's alcohol and controlled substance policies.

(12) The carrier and the owner of the leased motor vehicle specify on the lease form who is responsible for all expenses relating to the leased motor vehicles.

(13) The carrier complies with the terms of the lease.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-15-590, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-590, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-590, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-590, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-610 Advertising.

(1) Carriers must include the commission-issued permit number, name or trade name as recorded at the commission, physical address and telephone number in any advertising for household goods moving services. Advertising includes, but is not limited to:

(a) Advertisements in telephone books, newspapers, correspondence, cards, or any other written document.

(b) Signs, posters or similar displays.

(2) Advertisements may not be misleading, false or deceptive.

(3) Radio or television advertising need not contain the carrier's permit number if the carrier provides its permit number, physical address, and telephone number to the person selling the advertisement and it is recorded in the advertising contract.

(4) Carriers may advertise services provided as an agent of, or connecting carrier to, another household goods carrier if they include the name and permit number of the other household goods carrier in their advertising.

(5) No person may falsify a permit number or use a false or inaccurate permit number in connection with any advertisement, solicitation or any form of identification as an authorized household goods carrier.

(6) Carriers may not advertise services or rates and charges that conflict with those in the tariff.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 34.05.353, and 2009 c 94. WSR 09-24-104 (Docket TV-091038, General Order R-556), § 480-15-610, filed 12/2/09, effective 1/2/10. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-610, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-610, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-620 Information household goods carriers must provide to customers.

(1) Carriers must give each customer a copy of the commission publication, "Consumer Guide to Moving in Washington State" at the time the carrier gives the customer a written estimate.

(2) The language contained in the publication is prescribed by the commission and may not be changed by the carrier.

(3) The commission will provide carriers the prescribed language but will not provide copies of the publication. Carriers are responsible for making sufficient copies for their needs.

(4) Carriers may access the prescribed language through the commission's website at www.utc.wa.gov or by contacting the commission at 360-664-1222.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-620, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-620, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-620, filed 6/27/00, effective 7/28/00. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-620, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-630 Estimates.

Every carrier is required to provide a written estimate to every customer prior to moving a shipment of household goods and must issue a written supplemental estimate when required by commission rule or tariff. The carrier must provide estimates by following the requirements set in the commission-published tariff covering household goods movers. The initial estimate may be a binding or nonbinding estimate.

(1) A binding estimate is the promise of a guaranteed cost of a move from the carrier to the customer. The carrier is bound to charge only the amount of the estimate and no more.

(2) A nonbinding estimate is an estimate of the amount the carrier will charge to move a customer's household goods. The customer may pay charges in excess of the estimate.

(3) A supplemental estimate is in addition to any other estimate. A supplemental estimate is required if the circumstances surrounding the move change in a way that causes rates or charges to increase. The customer must accept and sign the supplemental estimate prior to additional work being performed.

(4) A carrier may provide the hourly rate it charges and the amount of time it believes it will take to make the move. A carrier may provide the rate per unit of weight it charges and the total weight it believes a shipment weighs. However, the carrier must provide a written binding or nonbinding estimate before making the move.

(5) A carrier may not conduct a move until it has visually inspected the goods to be shipped, unless the customer completes a website calculation or hard-copy calculation sheet as described in subsection (6) of this section, and the carrier has provided a written binding or nonbinding estimate to the customer.

(6) A carrier may provide an estimate based on a customer-completed website calculation or customer completed hard-copy calculation sheet if:

(a) The estimate contains all of the elements required by the tariff.

(b) The customer electronically "signs" the information provided on the website by entering the customer's name and the date the information was filled out on the screen. The date must be present and must be entered by the customer.

(c) The carrier provides the customer with a current copy of the commission publication, "Consumer Guide to Moving in Washington State."

(d) The estimate discloses at the website or on the hard-copy calculation sheet that:

(i) The estimate is not binding.

(ii) The cost of the move may exceed the estimate.

(iii) The customer will be required to pay up to one hundred ten percent of the estimate upon delivery. Carriers must allow customers at least thirty days from the date of delivery to pay amounts in excess of the one hundred ten percent.

(iv) The customer is not required to pay more than one hundred twenty-five percent of the estimate regardless of the total cost unless the carrier issues and the customer accepts a supplemental estimate.

(7) The carrier must complete the estimates as required by tariff.

(8) All written estimates must be signed and dated by both the carrier and customer prior to the move. If the carrier completes the estimate on the day of the move, the carrier may not charge the customer for travel time to the point of origin or the time spent completing the estimate.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-630, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-630, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-630, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-660 Supplemental estimates.

(1) Carriers must provide a written supplemental estimate if the circumstances surrounding the move change in any way to cause the rates or charges to increase.

(2) When providing a supplemental estimate, a carrier may not apply a higher rate to the articles and services identified in the original estimate. A carrier may choose to use a higher rate for new services or additional articles not included in the original estimate.

(3) The carrier must complete the supplemental estimate as required by tariff.

(4) The carrier and the customer must sign the supplemental estimate prior to the additional work being performed.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-660, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160, 81.04.250, 81.28.040, 81.80.090, 81.80.120, 81.80.130, 81.80.290, 81.80.211, and 80.01.040. WSR 00-14-010 (General Order No. R-471, Docket No. TV-991559), § 480-15-660, filed 6/27/00, effective 7/28/00. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-660, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-710 Bill of lading.

(1) A bill of lading is a shipping document issued by the household goods carrier, signed by both the customer and the household goods carrier that establishes a legal contract with terms and conditions for a shipment of household goods.

(2) The carrier must issue a bill of lading for each shipment of household goods it transports and must give the customer a completed copy of the bill of lading used for the customer's shipment.

(3) The carrier must include the information in a bill of lading as described in the commission's tariff.

(4) The carrier must keep the bill of lading and all associated documents for three years from the date the move was completed.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-710, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-710, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-750 Weight.

Carriers must follow the requirement of the tariff as it applies to weight of the shipment.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-750, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-750, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-800 Customer complaints and claims.

If a customer is not satisfied with the carrier's service:

(1) The carrier must provide the customer with all information and forms necessary to file a complaint or claim.

(2) The customer must file any and all claims for loss or damage within nine months from the actual delivery date. In the case of failure to make delivery, the claim must be filed within nine months after the originally scheduled delivery date.

(3) Claims must contain sufficient information to identify the property involved. A copy of the bill of lading must accompany the claim.

(4) The customer must pay all proper charges for the move prior to filing a claim for loss or damage.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-800, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-800, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-810 Resolving customer complaints or claims.

When the carrier receives a complaint or claim, it must:

(1) Notify the customer, in writing, within ten business days that it has received the claim or complaint and advise the customer of the availability of the commission for further review by providing the commission's toll-free number and mailing address: 1-800-562-6150; P.O. Box 47250, Olympia, Washington 98504-7250.

(2) Investigate the complaint or claim.

(3) Advise the customer of the resolution of the complaint or claim in writing.

(4) If it is a loss or damage claim, pay the claim, refuse the claim, or make a compromise offer within ninety days.

(a) If the carrier cannot resolve a loss or damage claim within ninety days, it must, for each thirty-day period thereafter until the claim is settled, inform the customer, in writing, of the reason it failed to resolve the claim or clearly state its final offer or denial and close the claim and advise the customer of the availability of the commission for further review by providing the commission's toll-free number and mailing address: 1-800-562-6150; P.O. Box 47250, Olympia, Washington 98504-7250.

(b) Maintain a copy of the written correspondence required in (a) of this subsection in the complaint or claim file for three years, as directed by WAC 480-15-830.

(5) The carrier may satisfy any claim by reimbursing the customer or repairing or replacing the property lost or damaged with materials of like kind, quality, and condition.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-810, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-810, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-830 Complaint and claim records retention.

Carriers must keep all records and papers relating to complaints or claims for three years after the date the complaint or claim is resolved. Carriers must include, at a minimum, the following information in a claim or complaint file:

(1) The date the claim or complaint was received.

(2) The name, address and telephone number of the customer.

(3) Detailed information about the dispute.

(4) Details of any action the carrier has taken in response to the claim or complaint.

(5) The date the claim or complaint was resolved and a description of the final resolution.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-830, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-830, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-890 Commission-referred complaints.

When commission staff refers a customer complaint to a carrier, the carrier must:

(1) Provide its initial response to commission staff within five business days from the date commission staff referred the complaint to the carrier. The carrier's response must include the results of its investigation into the informal complaint and any document related to the move requested by staff. The carrier may request and commission staff may allow, if warranted, an extension to the initial response due date.

(2) Respond to commission staff inquiries requesting additional information or documentation relevant to the informal complaint within five business days.

(3) Keep commission staff currently informed of any progress made in resolving a claim for loss or damages not resolved within the first ninety-day period of the claim by informing staff in writing, for each thirty-day period thereafter, of the reason for failure to resolve the claim.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-890, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-890, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-900 Requirements for interstate operations.

General requirements: No household goods carrier may operate any motor vehicle or combination of motor vehicles over the public roads of this state in interstate commerce unless the carrier has met all of the following requirements:

(1) Obtained the appropriate operating authority from the U.S. Department of Transportation Federal Motor Carrier Safety Administration (FMCSA) or its successor agency.

(2) Obtained valid insurance as required by FMCSA.

(3) Participated in any program administered by the commission for registering, paying fees or otherwise regulating interstate motor freight carriers as provided by FMCSA or its successor agency.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, and 81.80.130. WSR 13-23-048 (Docket TV-130079, General Order R-573), § 480-15-900, filed 11/15/13, effective 12/16/13. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.250, 81.28.040, 81.80.120, 81.80.130 and 81.80.290. WSR 08-02-049 (Docket TV-070466, General Order R-547), § 480-15-900, filed 12/27/07, effective 1/27/08. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 99-01-077 (Order R-454, Docket No. TV-971477), § 480-15-900, filed 12/15/98, effective 1/15/99.

Wash. Admin. Code § 480-15-999 Adoption by reference.

WAC 480-15-999

(1) North American Standard Out-of-Service Criteria (OOSC) is published by the Commercial Vehicle Safety Alliance (CVSA).

(a) The commission adopts the version in effect on April 1, 2026.

(b) This publication is referenced in WAC 480-15-560 (Vehicle and driver safety requirements).

(2) Title 49 Code of Federal Regulations, cited as 49 C.F.R., including all appendices and amendments is published by the United States Government Printing Office.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-15-560 (Vehicle and driver safety requirements).

(c) Copies of Title 49 Code of Federal Regulations are available from the U.S. Government Online Bookstore, https://bookstore.gpo.gov/, and from various third-party vendors.

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 26-14-045, s 480-14-999, filed 6/25/26, effective 7/26/26. Statutory Authority: RCW 80.10.040, 80.04.160, 81.04.160, and 34.05.353. WSR 25-15-030, s 480-15-999, filed 7/8/25, effective 8/8/25. Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-15-999, filed 6/18/24, effective 7/19/24
WSR 23-13-003, § 480-15-999, filed 6/7/23, effective 7/8/23
WSR 22-15-104, § 480-15-999, filed 7/19/22, effective 8/19/22
WSR 21-13-130, § 480-15-999, filed 6/22/21, effective 7/23/21
WSR 19-14-118, § 480-15-999, filed 7/3/19, effective 8/3/19
WSR 18-13-106, § 480-15-999, filed 6/19/18, effective 7/20/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 17-15-054 (Docket A-170015, General Order R-589), § 480-15-999, filed 7/13/17, effective 8/13/17
WSR 16-05-035 (Docket A-151884, General Order R-585), § 480-15-999, filed 2/9/16, effective 3/11/16
WSR 15-06-048 (Docket A-143302, General Order R-579), § 480-15-999, filed 3/2/15, effective 4/2/15
WSR 14-05-001 (Docket A-131761, General Order R-574), § 480-15-999, filed 2/5/14, effective 3/8/14
WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-15-999, filed 2/11/13, effective 3/14/13
WSR 12-05-063 (Docket A-111722, General Order R-564), § 480-15-999, filed 2/15/12, effective 3/17/12
WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-15-999, filed 1/25/11, effective 2/25/11
WSR 09-01-171 (Docket A-081419, General Order R-554), § 480-15-999, filed 12/23/08, effective 1/23/09
WSR 06-17-087 (Docket A-060475, General Order No. R-537), § 480-15-999, filed 8/14/06, effective 9/14/06
WSR 05-21-022 (Docket No. A-050271, General Order No. R-521), § 480-15-999, filed 10/10/05, effective 11/10/05
WSR 04-01-152 (General Order No. R-511, Docket No. A-030852), § 480-15-999, filed 12/22/03, effective 1/22/04
WSR 02-18-033 (Docket No. A-020379, General Order No. R-501), § 480-15-999, filed 8/26/02, effective 9/26/02. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-15-999, filed 9/28/01, effective 10/29/01.

Chapter 480-30 Passenger transportation companies.

Wash. Admin. Code § 480-30-001 Purpose of chapter.

(1) The legislature has declared that companies operating as auto transportation companies or as charter and excursion carriers in the state of Washington are engaged in businesses that affect the public interest and should be regulated. The purpose of these rules is to administer and enforce chapters 81.68 and 81.70 RCW by establishing the following standards that apply to auto transportation companies and to charter and excursion carriers, to the extent allowed by the individual chapters of law:

• Public safety;

• Fair practices;

• Just, reasonable and sufficient rates;

• Nondiscriminatory application of rates;

• Adequate and dependable service;

• Consumer protection; and

• Compliance with statutes, rules and commission orders.

(2) This chapter replaces rules formerly contained in chapters 480-40 and 480-30 WAC.

(3) In addition to administering and enforcing chapters 81.68 and 81.70 RCW, the rules under this chapter are established to comply with federal law.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-001, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-006 Application of rules.

(1) The rules in this chapter apply to passenger transportation companies subject to the jurisdiction of the commission under chapter 81.04, 81.68, or 81.70 RCW. The rules apply to all passenger transportation companies, unless a part, rule, or reference within a rule states otherwise. These rules also include various requirements that apply to the companies' customers and to companies applying for certificates.

(2) The tariffs filed by auto transportation companies must conform to these rules. If the commission accepts a tariff or schedule that conflicts with these rules, the acceptance does not constitute a waiver of these rules unless the commission specifically approves the variation consistent with WAC 480-30-046. Tariffs that conflict with these rules and are not specifically approved by the commission are superseded by these rules.

(3) Any affected person may ask the commission to review the interpretation of these rules by filing an informal complaint under WAC 480-07-910 or by filing a formal complaint under WAC 480-07-370.

(4) No deviation from these rules will be permitted without written authorization by the commission. Violation will be subject to penalties as provided by law.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-006, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-011 Exempt operations.

The commission does not regulate the following passenger transportation operations under this chapter:

(1) Auto transportation company operations conducted wholly within the limits of an incorporated city or town, or auto transportation company operations from a point in a city or town in the state of Washington for a distance of not more than three road miles beyond the corporate limits of the city or town in which the trip began. The operations must not be part of a journey beyond the three-mile limit, either alone or in conjunction with another vehicle or vehicles.

(2) Commuter ride sharing or ride sharing for persons with special transportation needs under RCW 46.74.010, provided the ride-sharing operation does not compete with nor infringe upon comparable service that was actually provided by an auto transportation company under chapter 81.68 RCW before the ride-sharing operation started.

(3) Municipal corporations and other government entities.

(4) Public transit agencies.

(5) Persons operating vehicles under exclusive contract to a public transit agency.

(6) Persons owning, operating, controlling, or managing taxi cabs, hotel buses, or school buses, when operated as such.

(7) Passenger vehicles carrying passengers on a noncommercial basis, including but not limited to, nonprofit corporations.

(8) Private carriers who, in their own vehicles, transport passengers as an incidental adjunct to some other established private business owned or operated by them in good faith.

(9) Transporting transient air flight crew or in-transit airline passengers between an airport and temporary hotel accommodations under an arrangement between the airline carrier and the passenger transportation company.

(10) Substituting ground transportation for air transportation under an arrangement between the airline carrier and the passenger transportation company in emergency situations arising from the inability of the air carrier to perform air transportation due to adverse weather conditions, equipment failure, or other causes.

(11) Transporting passengers who have had or will have had a prior or subsequent movement by air under a through ticket or common arrangement with an airline or with a connecting out-of-state passenger transportation company.

(12) Any other carrier or company that does not come within the term:

(a) "Auto transportation company" as defined in RCW 81.68.010;

(b) "Charter party carrier" as defined in RCW 81.70.020; or

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-011, filed 1/4/16, effective 2/4/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-011, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-016 Determination of authority.

(1) In some instances, a person desiring to transport passengers may be subject to regulation as an auto transportation company under the provisions of chapter 81.68 RCW, a charter and excursion carrier under the provisions of chapter 81.70 RCW, or both chapters, depending on the nature of the services offered and provided.

(2) When determining whether operations require an auto transportation or charter and excursion certificate the commission will consider factors including, but not limited to:

(a) What is the nature of the proposed transportation service?

(b) What is the origin and destination of the proposed transportation?

(d) Who will pay for the service?

(e) How will the rates be assessed? (Time of use, mileage or distance, passenger fares, flat fee, other.)

(f) How will the service be provided?

(g) Will the service be offered to the public?

(h) Will a passenger or group of passengers have exclusive use of the vehicle or will there be shared rides or mixed use?

(i) What type and size vehicle(s) will be used to provide the service?

(j) Who will own the vehicle(s)?

(k) Who will be responsible for the operation and control of the vehicle(s)?

(3) Any person may submit to the commission a detailed written description of a proposed service to transport passengers and request an informal staff determination of the authority required to provide the described service.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-016, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-021 Additional requirements.

(1) These rules do not relieve any passenger transportation company from any of its duties and obligations under the laws of the state of Washington.

(2) The commission retains the authority to impose additional or different requirements on any passenger transportation company in appropriate circumstances, consistent with the requirements of law.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-021, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-022 Contractors.

A passenger transportation company may contract with a person or company to perform tasks that are subject to the rules under this chapter. If the passenger transportation company's contractor or any of its subcontractors engages in conduct that violates any federal, state, or local law or regulation, or any commission order, while performing tasks under the contract, the passenger transportation company is subject to commission enforcement actions as if the passenger transportation company itself engaged in that conduct. The passenger transportation company is responsible for maintaining measures designed to prevent and detect a violation of statutes or rules within the commission's authority to enforce by a contractor or any of its subcontractors. The passenger transportation company must make available records regarding its use of the contractor on request by the commission that fully enable the commission to audit, investigate, and determine the company's compliance with applicable law while using the contractor.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-022, filed 7/31/17, effective 8/31/17.

Wash. Admin. Code § 480-30-026 Severability.

If any provision of this chapter or its application to any person or circumstance is held invalid, the remainder of the chapter or the application of the provision to other persons or circumstances is still valid.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-026, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-031 Procedural rules.

The commission's procedural rules are contained in chapter 480-07 WAC. If a rule in this chapter conflicts with a rule in chapter 480-07 WAC, the rule in this chapter applies. Copies of chapter 480-07 WAC are available from the commission records center on request.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-031, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-036 Definitions, general.

(1) See WAC 480-30-261 for definition of terms used primarily in tariffs and time schedules and WAC 480-30-216 for definitions used in driver and vehicle safety rules.

(2) Unless the language or context indicates that a different meaning is intended, the following definitions apply:

"Agent" means a person authorized to transact business for, and in the name of, another.

"Airporter service" means an auto transportation service that starts or ends at a station served by another type of transportation such as, air or rail transportation. Airporter service is often a premium service that involves handling luggage. Although stops may be made along the way, they are usually limited to picking up or discharging passengers and luggage bound to or from the airport or depot served.

"Alternate arrangements for passengers" means the travel arrangements made by an auto transportation company that has accepted a trip booking or reservation from a passenger and that is unable to provide the agreed transportation. The alternate arrangements may require travel by another carrier or mode of transportation at no additional cost to the passenger beyond what the passenger would have paid for the original transportation arrangement.

"Application docket" means a commission publication providing notice of all applications requesting auto transportation operating authority, with a description of the authority requested. The commission sends this publication to all persons currently holding auto transportation authority, to all persons with pending applications for auto transportation authority, to affected local jurisdictions or agencies, and to all other persons who asked to receive copies of the application docket.

"Area" means a defined geographical location. Examples include, but are not limited to:

(a) A specified city or town;

(b) A specified county, group of counties, or subdivision of the state, e.g., western Washington;

(d) A route, e.g., area within four road miles of Interstate 5.

"Auto transportation company" means every corporation or person, their lessees, trustees, receivers, or trustees appointed by any court whatsoever owning, controlling, operating, or managing any motor-propelled vehicle used in the business of transporting persons and their baggage on the vehicles of auto transportation companies carrying passengers, for compensation over any public highway in this state between fixed termini or over a regular route, and not operating exclusively within the incorporated limits of any city or town.

"Between fixed termini or over a regular route" means the fixed points between which an auto transportation company provides service or the route over which an auto transportation company ordinarily operates any motor-propelled vehicle, even though there may be variance whether the variance is periodic or irregular.

"Bus" means a motor vehicle designed, constructed, and/or used for the transportation of passengers.

"Business days" means days of the week excluding Saturdays, Sundays, and official state holidays.

"By-reservation-only service" means transportation of passengers by an auto transportation company, with routes operated only if passengers have made prior reservations.

"Certificate" means:

(a) The certificate of public convenience and necessity issued by the Washington utilities and transportation commission under the provisions of chapter 81.68 RCW to operate as an auto transportation company; or

(b) The certificate issued by the Washington utilities and transportation commission under chapter 81.70 RCW to operate as a charter and excursion carrier in the state of Washington.

"Certificated authority" means:

(a) The territory and services granted by the commission and described in an auto transportation company's certificate of public convenience and necessity; or

(b) Operations in the state of Washington for charter and excursion service carriers.

"Charter party carrier" or "charter carrier" means every person engaged in the transportation over any public highways in this state of a group of persons who, pursuant to a common purpose and under a single contract, acquire the use of a motor vehicle to travel together as a group to a specified destination or for a particular itinerary, either agreed upon in advance or modified by the chartering group after leaving the place of origin. A person who is engaged in the transportation of persons by party bus over any public highway in this state is considered engaging in the business of a charter party carrier or excursion service carrier.

"Claim" means a demand made on a company for payment resulting from a loss sustained through the company's negligence or for inadequate service provided by the company.

"Closed-door service" means a portion of a route or territory in which an auto transportation company is not allowed to pick up or deliver passengers. Closed-door service restrictions must be clearly stated in an auto transportation company's certificate.

"Commercial motor vehicle" means a motor vehicle or combination of motor vehicles used in commerce to transport passengers if the vehicle:

(a) Has a gross vehicle weight rating or gross combination weight of 26,001 pounds or more, inclusive of a towed unit(s) with a gross vehicle weight rating or gross combination weight of more than 10,001 pounds or more; or

(b) Has a gross vehicle weight rating or gross combination weight of 26,001 pounds or more; or

(d) Is of any size and is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act (49 U.S.C. Sec. 5103(b)) and which require the motor vehicle to be placarded under the Hazardous Materials Regulations (49 C.F.R. Part 172, Subpart F).

"Commission" means the Washington utilities and transportation commission.

"Common carrier" means any person who transports passengers by motor vehicle over the public highways for compensation.

"Common purpose" means that a group of persons is traveling together to achieve a common goal or objective. For example, a group of persons traveling together to attend a common function or to visit a common location. For the purposes of these rules, it does not mean a group of persons who have no common goal other than transportation to, or from, the airport.

"Company" means an entity authorized by the commission to transport passengers, for compensation, using a motor vehicle, over the public highways of the state.

"Complaint" means one of two types of actions by a person against a passenger transportation company that the commission regulates:

(a) "Informal complaints" are those complaints filed with the commission under the provisions of WAC 480-07-910. Informal complaints are normally investigated and resolved by commission staff.

(b) "Formal complaints" are those complaints filed with the commission under the provisions of WAC 480-07-370. In a formal complaint, the burden of proof resides with the complaining party who must prove its assertions in a formal commission proceeding.

"Connecting service" means an auto transportation company service over a route, or routes, that require passengers to transfer from one vehicle to another vehicle operated by either the same company or a different company before reaching the ending point.

"Contract" as used in this chapter means any agreement between a passenger transportation company and another person to obtain property or services the company uses to provide passenger transportation services including, but not limited to, sales agreements, service agreements, employment agreements, mortgages, loans, and leases for real or personal property.

"Customer" means a person who purchased transportation services from an auto transportation company or a person, corporation, or other entity that prearranges for transportation services with a charter party carrier or purchases a ticket for transportation services aboard an excursion service carrier.

"Direct route" means an auto transportation company service over a route that goes from the beginning point to the ending point with limited, if any, stops along the way, and traveling only to points located on the specific route without requiring a passenger to transfer from one vehicle to another.

"Discontinuance of service":

(a) "Permanent discontinuance of service" means that a company holding auto transportation authority issued by the commission is unable to continue to provide all, or part of, the service authorized by the company's certificate, filed tariff, or filed time schedule and requests commission permission to permanently discontinue all, or part of, its service and relinquish that certificate or portion of that certificate. See WAC 480-30-186.

(b) "Temporary discontinuance of service" means that a company holding auto transportation authority issued by the commission is unable to continue to provide all, or part of, the service authorized by the company's certificate, filed tariff, or filed time schedule and requests commission permission to discontinue all, or part of, its service for a specified, limited period of time.

"Door-to-door service" means an auto transportation company service provided between a location identified by the passenger and a point specifically named by the company in its filed tariff and time schedule.

"Double-decker bus" means a motor vehicle with more than one passenger deck.

"Excursion service carrier" or "excursion carrier" means every person engaged in the transportation of persons for compensation over any public highway in the state from points of origin within any city, town, or area, to any other location within the state of Washington and returning to that origin. The service must not pick up or drop off passengers after leaving and before returning to the area of origin. The excursions may be regularly scheduled. Compensation for the transportation offered or afforded must be computed, charged, or assessed by the excursion service company on an individual fare basis.

"Express passenger service" means auto transportation company service provided between fixed points or stations with few, if any, stops along the route, and is designed to get passengers from origin to destination more quickly than normally scheduled passenger service.

"Federal Motor Carrier Safety Administration" means an agency of the United States Department of Transportation (USDOT) and successor agency to the former Interstate Commerce Commission.

"Filing" means any application, petition, tariff proposal, annual report, comment, complaint, pleading, or other document submitted to the commission.

"Fixed termini" means points of origin and destination that are set, static locations or defined geographic areas. Examples include a city or town, a building, or an airport. In addition, "fixed termini" can include service between an airport and unlimited points within a defined geographic area.

"Flag stops" means a point along an auto transportation company's normally traveled routes where the company stops only if it receives notification that a passenger wishes to board the vehicle at that point. An auto transportation company must list available flag stops in the company's tariffs and time schedules. Flag stops may only be named at points that provide waiting passengers safe access to the vehicle.

"Group" means:

(a) Two or more passengers traveling together;

(b) A class of passengers to whom special rates and/or rules apply. For example, active military personnel.

"Intermediate point" means a point located on a route between two other points that are specifically named in an auto transportation company's certificate or tariff.

"Intermediate service" means service to an intermediate point.

"Interruption in service" means a period of time during which an auto transportation company cannot provide service listed in its certificate, its filed tariff, or its filed time schedule. An interruption in service is normally short lived, lasting no more than a few hours or a few days.

"Liquor permit holder" means a holder of an appropriate special permit to provide liquor issued under chapter 66.20 RCW, who is 21 years of age or older and who is responsible for compliance with the requirements of WAC 480-30-244 and chapter 66.20 RCW during the provision of transportation services.

"Motor vehicle" or "vehicle" means:

(a) As related to auto transportation companies: Every self-propelled vehicle used on the public highways, for the transportation of persons for compensation.

(b) As related to charter and excursion carriers: Every self-propelled vehicle with a manufacturer's seating capacity for more than eight passengers, including the driver, used on the public highways, for the transportation of persons for compensation.

"Named points" means cities, towns, or specific locations that are listed in an auto transportation company's certificate, tariff, or time schedule.

"Nonstop service" means transportation of passengers from point of origin to point of destination without stopping at any intermediate points.

"On-call service" means unscheduled auto transportation company service provided only to those passengers that have by prior arrangement requested service prior to boarding.

"Party bus" means any motor vehicle whose interior enables passengers to stand and circulate throughout the vehicle because seating is placed around the perimeter of the bus or is nonexistent and in which food, beverages, or entertainment may be provided. A motor vehicle configured in the traditional manner of forward-facing seating with a center aisle is not a party bus.

"Passenger facility" means a location at which an auto transportation company stations employees and at which passengers can purchase tickets or pay fares for transportation service.

"Passenger transportation company" means an auto transportation company or charter and excursion carrier.

"Person" means an individual, firm, corporation, association, partnership, lessee, receiver, trustee, consortium, joint venture, or commercial entity.

"Premium service" means a type of service provided by an auto transportation company that is outside normal service. Examples include express service, direct route service, and nonstop door-to-door service.

"Private carrier" means a person who transports passengers in the person's own vehicle purely as an incidental adjunct to some other established private business owned or operated by that person in good faith.

"Private motor vehicle" means a vehicle owned or operated by a private carrier.

"Public highway" means every street, road, or highway in this state.

"Public transit agency" means a municipal corporation or agency of state or local government formed under the laws of the state of Washington for the purpose of providing transportation services including, but not limited to, public transportation benefit areas, regional transit authorities, municipal transit authorities, city and county transit agencies.

"Residence" means the regular dwelling place of an individual or individuals.

"Route" means a highway or combination of highways over which an auto transportation company provides passenger service. There are two types of routes:

(a) "Irregular route" means travel between points named in an auto transportation company's certificate via any highway or combination of highways the company wishes to operate over. The certificate issued to the company does not list highways to be used, but the company defines routes in its tariffs and time schedules.

(b) "Regular route" means an auto transportation company providing passenger transportation over a route named in the certificate issued to the company by the commission.

"Scheduled service" means an auto transportation company providing passenger service at specified arrival and/or departure times at points on a route.

"Single contract" means an agreement between a charter carrier and a group of passengers to provide transportation services at a set price for the group or trip. Under a single contract, passengers are not charged individually.

"Small business" means any company that has 50 or fewer employees.

"Special or promotional fares" means temporary fares for specific services offered for no more than 90 days.

"Suspension" means an act by the commission to temporarily revoke a company's certificated authority; or an act by the commission to withhold approval of an auto transportation company's tariff filing.

"Tariff" or "tariff schedule" means a document issued by an auto transportation company containing the services provided, the rates the company must assess its customers for those services, and the rules describing how the rates apply.

"Tariff service territory" means a company-defined geographic area of its certificated authority in which a specific tariff applies.

"Temporary certificate" means the certificate issued by the Washington utilities and transportation commission under RCW 81.68.046 to operate as an auto transportation company for up to 180 days or pending a decision on a parallel filed auto transportation company certificate application.

"Temporary certificate authority" means the territory and services granted by the commission and described in an auto transportation company's temporary certificate.

"Ticket agent agreements" means a signed agreement between an auto transportation company and a second party in which the second party agrees, for compensation, to sell tickets to passengers on behalf of the auto transportation company. See WAC 480-30-391.

"Time schedule" means a document filed as part of an auto transportation company's tariff, or as a separate document, that lists the routes operated by the company including the times and locations at which passengers may receive service and any rules specific to operating those routes.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-036, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-036, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-036, filed 1/4/16, effective 2/4/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-036, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-041 Change of address.

A company must notify the commission in writing of any change in physical business address, business mailing address, business telephone number, fax number, or email address. This notice must be filed by letter, fax, or email within fifteen days following the change.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-041, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-046 Exemptions from rules in chapter 480-30 WAC.

The commission may grant an exemption from the provisions of any rule in this chapter consistent with the standards and according to the procedures set forth in WAC 480-07-110 (Exceptions from and modification to the rules in this chapter; special rules).

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-046, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-051 Mapping, auto transportation company.

(1) Software and scale compatibility. The commission uses geographic information system (GIS) software to track regulated public utility and transportation company operating territories. Auto transportation company maps must meet minimum standards to ensure that those maps are compatible with the commission's GIS mapping system. When required by this chapter to file a map, an auto transportation company must file that map in one of the methods described in (a) and (b) of this subsection.

(a) Electronic maps. An auto transportation company may file an electronic map that is compatible with the commission's hardware and software. Before filing its map electronically, a company must contact the commission to determine whether its mapping software is compatible with that used by the commission.

(b) Paper maps. An auto transportation company may file a paper map or combination of paper maps using:

(i) Official state highway maps or comparable highway maps;

(ii) United States Geological Survey (USGS) maps at a scale of 1:250,000;

(iii) United States Geological Survey (USGS) maps at a scale of 1:24,000, when necessary to clearly resolve any inconsistencies or to reflect local service territories.

(c) Availability of maps. USGS maps are available through the Washington state department of natural resources and various private vendors. The official state highway map is available from the Washington state department of transportation.

(2) Map detail. Any map submitted to the commission must:

(a) Clearly show counties, cities, freeways, highways, roads, streets, county lines, and any other feature described in the application or certificate;

(b) Be clearly labeled to identify the features described in the certificate;

(d) Have a map legend briefly describing the features on the map;

(e) Have a scale bar showing the distance on the map equal to a defined number of feet, miles or other unit; and

(f) Have a title box that includes the company's name as shown on the company's auto transportation certificate, the company's registered trade name, the identification number of the filing to which the map applies, and a contact name and phone number.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-051, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-056 Records retention, auto transportation company.

(1) General provisions. An auto transportation company must keep all business records and reports for at least three years following the date those documents are created unless otherwise specified in subsection (2) of this section or unless a longer retention period is required by another governmental body.

(2) Retention schedule table. The following schedule shows periods that auto transportation companies must preserve various records.

| Type of Record: | Retention Period: | | --- | --- | | 1. Original certificate | Until cancellation. | | 2. Contracts | Until expiration, or termination, as applicable, plus three years. | | 3. All employment records | Until end of employment plus one year. | | 4. Long-term debt records | Until redemption plus three years. | | 5. General and subsidiary ledgers and indexes | Until discontinuance of use plus three years. | | 6. General journals | Until discontinuance of use plus three years. | | 7. General cash books | Until discontinuance of use plus three years. |

(3) Customer service records. An auto transportation company must maintain complete and accurate customer service records.

(a) Company service records include, but are not limited to:

(i) Daily trip records, by route or by unit of equipment, that show:

(A) The schedules operated;

(B) The number of passengers carried on each schedule;

(D) The fare charged each customer (for example full-fare, children's fare, round-trip fare, free or reduced fare);

(E) Any condition causing the vehicle to deviate from the company's filed time schedule by more than thirty minutes. For example, traffic backed up at an accident site, inclement weather, or equipment failure.

(ii) Records of revenues received.

(iii) Bills or invoices issued.

(iv) Records of all reservations.

(v) Records of all tickets issued.

(vi) Records of all passenger service provided at free and/or reduced rates.

(vii) Identification of vehicle by vehicle identification number (VIN) if the vehicle is not owned by the company.

(viii) Each driver's name and current driver's license number (with state of issue) if the company does not employ the driver.

(b) Customer service records must be kept on file in the general office of the company for at least three years and are subject to commission inspection.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-056, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-056, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-066 Accounting requirements, auto transportation company.

(1) The commission publishes a uniform system of accounts (USOA) for auto transportation companies. The commission supplies copies of the USOA on request.

(a) The USOA defines accounting, financial, and other procedures the commission uses to determine if rates are fair, just, reasonable, and sufficient.

(b) The USOA contains accounting definitions, listings, and explanations of balance sheet and income statement accounts.

(2) The commission recommends companies maintain their financial and accounting records according to the USOA. Regardless of what accounting system a company uses, the company must maintain its books and records in a manner sufficient to complete the commission-issued annual report form, using figures that reconcile with the USOA.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-066, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-071 Reporting requirements.

(1) Auto transportation company annual reports. An annual report is an end-of-the-year summary of financial and operational activity that each regulated auto transportation company is required to file with the commission.

(a) Each year the commission provides an annual report form and instructions to each company at its address of record. Failure to receive the form does not relieve a company of its obligation to complete and file its annual report. A company that does not receive an annual report form must contact the commission to obtain a copy of the form.

(b) A company must file a complete, accurate annual report showing all requested information by May 1 of the succeeding year. Information provided on the annual report must agree with source documents maintained at company offices.

(c) The commission may grant an extension of time allowing the company to file its annual report after the May 1 due date if the commission receives a request for extension before May 1.

(d) The commission may issue penalty assessments or take action to suspend or cancel a certificate if a company fails to file its required annual report.

(e) A company selling, canceling, transferring, or in some other manner discontinuing operations must submit an annual report for that portion of the year in which the company operated.

(f) The commission will provide an annual report form for companies charging flexible fares subject to WAC 480-30-420, requiring financial reporting only of the gross intrastate revenues reported to the state department of revenue for the previous calendar year, data to facilitate the commission's review under WAC 480-30-075, and such safety data as the commission may require.

(2) Charter and excursion carrier annual safety reports. An annual safety report is a summary of motor vehicle and safety operating information that each charter and excursion carrier is required to file with the commission.

(a) Each year the commission provides an annual safety report form and instructions to each company at its address of record. Failure to receive the form does not relieve a company of its obligation to complete and file its annual safety report. A company that does not receive an annual safety report form must contact the commission to obtain a copy of the form.

(b) A company must file a complete, accurate annual safety report showing all requested information by May 1 of each year. Information provided on the annual safety report must agree with source documents maintained at company offices.

(c) The commission may grant an extension of time allowing the company to file its annual safety report after the May 1 due date if the commission receives a request for extension before May 1.

(d) The commission may issue penalty assessments or take action to suspend or cancel a certificate if a company fails to file its required annual safety report.

(3) Other reports. The commission may require a company to file periodic or other special reports.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-071, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-071, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-075 Review of the effects of adopted rule amendments.

(1) Beginning January 1, 2019, the commission will evaluate the effects of WAC 480-30-140, 480-30-420, and the amendments to WAC 480-30-071, 480-30-096, 480-30-116, 480-30-126, 480-30-136, and 480-30-286. The issues that may be considered include, but are not limited to:

(a) Whether the amendments increased opportunities to maintain and expand safe, fair, adequate, dependable and fairly priced auto transportation services to the public;

(b) Whether the amendments reduced the cost to the companies of complying with the tariff and application regulations in this chapter and the cost to the agency of enforcing the regulations;

(d) Whether the amendments increased opportunities for new and existing companies to provide service;

(e) A comparison of fares charged by companies under WAC 480-30-420 and fares charged by companies under the standard tariff rules, and by other public and private transportation service providers;

(f) Whether there has been an increase in consumer complaints about unreasonable or unfair fares; and

(g) Whether the changes have resulted in an increase in ridership.

(2) The commission will accomplish the evaluation required under subsection (1) of this section through a rule-making proceeding under chapter 34.05 RCW.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-075, filed 8/21/13, effective 9/21/13.

Wash. Admin. Code § 480-30-076 Regulatory fees.

A regulatory fee is an annual assessment paid by each company to cover the costs of regulation.

(1) Auto transportation company regulatory fees. The maximum auto transportation company regulatory fee is set by statute at two-fifths of one percent of gross intrastate operating revenue.

(a) The maximum regulatory fee is assessed each year, unless the commission issues an order establishing the regulatory fee at an amount less than the statutory maximum.

(b) The minimum fee that an auto transportation company must pay is twenty dollars.

(c) The twenty dollar minimum regulatory fee is waived for any auto transportation company with less than five thousand dollars in gross intrastate operating revenue.

(d) Each auto transportation company must pay its regulatory fee by May 1st of each year.

(2) Charter and excursion carrier regulatory fees. The charter and excursion carrier regulatory fee is established by commission order.

(a) The minimum fee a charter and excursion carrier must pay is the amount established for a single vehicle.

(b) Each charter and excursion carrier must pay its regulatory fee on or before May 1st of each year.

(3) Extension of time to pay regulatory fees. The commission cannot grant extensions for payment of regulatory fees.

(4) Penalties for late fees. If a company does not pay its regulatory fee by the due date established in this rule, the commission will assess an automatic late fee of two percent of the amount due, plus one percent interest for each month the fee remains unpaid.

(5) The commission may take action to suspend or cancel a certificate, if a company fails to pay its regulatory fee.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-076, filed 1/4/16, effective 2/4/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-076, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-081 Motor vehicle fund, auto transportation company.

(1) In addition to regulatory fees, each auto transportation company must pay mileage fees on each vehicle it operates with a seating capacity over six passengers. RCW 46.16.125 establishes the following mileage fees:

(a) Fifteen cents for each one hundred vehicle miles; or

(b) Twenty cents for each one hundred vehicle miles if the vehicle is propelled by steam, electricity, natural gas, diesel oil, butane, or propane.

(2) The commission transmits mileage fees collected under the provisions of RCW 46.16.125 to the state treasurer to be deposited in the motor vehicle fund.

(3) If a company fails to pay the mileage fees, the company is subject to a penalty of one hundred percent of the payment due.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-081, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-086 Certificates, general.

(1) Certificate required. A person must have a certificate from the commission before operating as a passenger transportation company in the state of Washington.

(2) Company name. The company name is the name of the certificate holder.

(a) A company electing to conduct operations under a trade name must first register the trade name with the commission.

(b) A company must conduct all operations under the company name, a registered trade name, or both. Operations includes, but is not limited to, advertising, ticketing, and identifying vehicles.

(c) A company may not operate under a company name or trade name that is similar to that of another company if use of the similar name misleads the public or results in unfair or destructive competitive practices.

(3) Display. A company must keep its original certificate on file at its principal place of business open to inspection by any customer, law enforcement officer, or authorized commission representative who asks to see it.

(4) Replacement. The commission will replace a lost or destroyed original certificate at no charge.

(5) Description of certificated authority. When a company's certificate authority includes boundaries such as cities, towns, streets, avenues, roads, highways, townships, ranges or other descriptions, the boundaries remain established as they existed at the time the commission granted the authority.

(6) Operating within certificated authority.

(a) A company must operate strictly within the authority described in its certificate.

(b) The commission may take administrative action against a company operating outside its certificated authority. Refer to WAC 480-30-241 for information regarding the commission's compliance policy.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-086, filed 1/4/16, effective 2/4/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-086, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-091 Certificates, application fees.

(1) The purpose of an application filing fee is to partially cover handling and processing expenses.

(2) The commission establishes the following fees for application filings:

| Auto transportation company certificate application | $200 | | | --- | --- | --- | | | Application for certificate to provide regular route or fixed termini service. Forms include: Application for new certificate, to reinstate a previously canceled certificate, to transfer all or a portion of a certificate to a new owner or business structure, to lease all or a portion of a certificate. Note: Auto transportation company certificates include statewide charter and excursion carrier service. No additional application is required. | | | Auto transportation company certificate extension application | $150 | | | | Application for extension of certificate authority to add new or additional regular route or fixed termini service to an existing auto transportation certificate. | | | Auto transportation company temporary certificate application | $150 | | | | Application for new temporary authority or temporary authority to operate pending a commission decision on a parallel filed certificate application. | | | Charter and excursion carrier certificate application | $200 | | | | Application for single certificate to provide both charter and excursion carrier service statewide. Forms include: Application for new certificate, to reinstate a previously canceled certificate, to transfer an existing certificate to a new owner or business structure. | | | Certificate name change application | $35 | | | | Application to change a company's corporate name, change a trade name, add a new trade name, or change the surname of an individual owner or partner. | | | Auto transportation company certificate mortgage application | $35 | | | | Application for permission to mortgage or otherwise encumber an auto transportation company certificate. | |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-091, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-096 Certificates, application filings, general.

(1) A person must submit its certificate application on forms provided by the commission.

(2) Applications must include all requested information, attachments, signed statements, and filing fees.

(a) The commission may reject or defer consideration of an application until the applicant provides all required information;

(b) The commission may reject or defer consideration of an application until the applicant pays any outstanding fees, fines, or penalties; or

(3) Applications for auto transportation certificate authority must include, but are not limited to:

(a) A complete description of the proposed service including, but not limited to:

(i) The line, route, or service territory described in terms such as streets, avenues, roads, highways, townships, ranges, cities, towns, counties, or other geographic descriptions;

(ii) Whether the service will be:

• "Door-to-door service" - Service provided between locations identified by the passengers and points specifically named by the company in its filed tariff and time schedule. Door-to-door service requires a time schedule in compliance with WAC 480-30-281 (2)(c) and may be restricted to "by reservation only"; and/or

• "Scheduled service" - Service provided between locations specifically named by the company (e.g., the X Hotel at 4th and Main) and points specifically named by the company in its filed tariff and time schedule. Scheduled service requires the company to file a time schedule in compliance with WAC 480-30-281 (2)(b) and may be restricted to "by reservation only."

(b) A map of the proposed line, route, or service territory that meets the standards described in WAC 480-30-051;

(d) A proposed tariff and time schedule for the proposed service;

(e) A statement of conditions from the applicant and statements from members of the public that demonstrate that public convenience and necessity requires the proposed service;

(f) Ridership and revenue forecasts for the first twelve months of operation;

(g) A projected balance sheet and income statement for the first twelve months of operation;

(h) A list of equipment currently owned or leased, or proposed to be purchased or leased, to be used in providing the proposed service;

(i) A statement of the applicant's prior experience and familiarity with the commission's statutes and rules, specifically safety requirements that govern the operations it proposes; and

(j) Evidence of compliance with state tax, labor, employment, business, and vehicle licensing laws and rules. The commission will accept valid, verifiable account numbers showing the applicant has established accounts with other state agencies.

(4) The provisions of this rule do not apply to applications for auto transportation company certificate authority to provide intrastate service over an interstate regular route under a federal grant of authority. Refer to WAC 480-30-101.

(5) An application for new authority filed by a person not currently holding a certificate may propose a tariff that in addition to the applicant's proposed fares includes a request that the company be granted flexible fare authority under WAC 480-30-420 with the proposed maximum fares shown in compliance with the rule. Before the commission grants such authority, it will determine that the proposed base fares are fair, just, reasonable, and sufficient.

(6) A person holding a certificate applying for a name change or mortgage is not required to comply with WAC 480-30-096(3).

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-096, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-096, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-101 Certificates, federal grant of authority, auto transportation company.

(1) This rule governs applications for auto transportation company certificates for authority to provide intrastate regular route service under a federal grant of authority under the provisions of 49 U.S.C. § 13902.

(2) A company operating under a federal grant of authority must comply with state filing requirements no later than thirty days after the date the company first begins providing transportation entirely within the state.

(3) The commission will grant an auto transportation company application for certificate consistent with the federal grant of authority and limited to intrastate operations that are conducted together with regularly scheduled interstate operations on the same route.

(a) An application for a certificate filed under the provisions of this rule must be submitted on forms provided by the commission and accompanied by the required auto transportation company certificate application filing fee in WAC 480-30-091.

(b) A copy of the federal order granting authority and any other documents or correspondence relevant to the federal grant of authority must accompany the application.

(c) The application may be published on the commission's application docket for informational purposes only, but is not subject to protest by any party.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-101, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-106 Certificates, acquisition of control.

(1) Notice required. Any person acquiring control of a passenger transportation company through acquisition of the stock of that company must notify the commission in writing within thirty days of the acquisition.

(2) Content of notice. Notice may be accomplished by filing a letter with the commission. The letter must include at least the following information:

(a) The name, registered trade names, and certificate number of the acquired company.

(b) The date of acquisition.

(d) The name, address, telephone number, fax number, and email address of a contact person within the company to whom questions may be directed.

(e) The location (mailing address and physical address) where books and records of the acquired company will be retained.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-106, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-111 Certificates, starting service.

(1) Filing an application under WAC 480-30-096 does not authorize the applicant to start operations of the type requested or in the territory described in the application. The commission must grant the application and issue a certificate before a company may start the requested service.

(2) This rule does not apply to applications for auto transportation company certificates under a preemptive federal grant of authority to provide intrastate service over an interstate route.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-111, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-116 Certificates, application docket, and objections, auto transportation company.

(1) Application docket. The commission publishes a notice of pending certificate applications in the application docket. The commission mails the application docket to each existing auto transportation company certificate holder, to each person with a pending auto transportation company certificate application and to any other interested person who has asked to receive copies of the application docket. It includes notice of auto transportation company certificate applications for:

(a) New certificate authority.

(b) Extension of existing certificate authority.

(2) Objections. An existing auto transportation company may object to an application for new authority or an extension of authority published in the application docket only if the company holds a certificate that authorizes the same service and the company provides the same service published in the application docket. No company may file an objection to applications for transfers or lease of all or a portion of certificate authority.

(a) Form of objections. Objections must:

(i) Be filed within thirty days of the date the commission mailed the application docket.

(ii) Be filed according to the provisions of WAC 480-07-370.

(iii) Be served on the applicant and the applicant's attorney, if the attorney has filed with the commission a notice of appearance.

(iv) Specify why the company believes it is providing the same service to the satisfaction of the commission and why it is filing the objection.

(v) Specify the approximate number of witnesses the objecting company intends to present and an estimate of hearing time required for the objecting company's presentation.

(vi) Include the name and address of each person on whose behalf the objection is filed including that person's certificate number, a copy of the certificate authority, and identification of the portion or portions of the objector's certificate that is the basis for the objection, and specifically identify the portion or portions of the objector's certificate that authorizes the same service requested by the applicant.

(vii) Describe any restrictive amendment that could eliminate the objecting company's interest in the application.

(b) Failure to file objection on time. A person who fails to file an objection within the thirty-day notice period may not in any way participate further in the proceeding, unless that person can show that the commission did not provide proper notice of the pending application, or that good cause exists for the failure to make a timely objection.

(3) The adjudication of applications subject to an objection filed under RCW 81.68.040 will be accomplished in the simplest and most expeditious manner consistent with state law. The adjudication will be limited to the question of whether the objecting company holds a certificate to provide the same service in the same territory, whether the objecting company provides the same service, and whether an objecting company will provide the same service to the satisfaction of the commission.

(4) Applications not subject to the docket and objection provisions of this rule. This rule does not apply to:

(a) Applications for charter and excursion carrier certificates;

(b) Applications to reinstate a certificate canceled for cause under the provisions of WAC 480-30-181, when the application is filed within thirty days of the certificate cancellation date;

(d) Applications to mortgage an auto transportation company certificate; and

(e) Applications for an auto transportation company certificate under a federal grant of authority to provide intrastate service over an interstate route.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-116, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-116, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-121 Certificates, applications, charter and excursion carrier.

(1) A person applying for a certificate to provide charter and excursion carrier services must be fit, willing, and able to provide service and to comply with state law and the safety and insurance requirements of this chapter.

(2) The commission will issue to any qualified applicant a certificate to provide charter and excursion carrier services in Washington upon receipt of:

(a) A complete application filing as required by WAC 480-30-096;

(b) Proof of insurance as required by WAC 480-30-191; and

(c) Proof of a passing Commercial Vehicle Safety Alliance (CVSA) safety inspection of each motor vehicle to be operated by the applicant under its certificate.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-121, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-126 Certificates, applications, auto transportation company.

(1) A person applying for a certificate to provide auto transportation company services must have the knowledge, experience, and resources to conduct the service it proposes in its application. The applicant must be fit, willing and able to comply with state law and the requirements of this chapter.

(2) The commission must determine that the public convenience and necessity, as defined in WAC 480-30-140(1), requires the proposed service when considering an application for a new certificate or extension of an existing certificate. An applicant must support its application with statements by independent members of the public who need the service or are knowledgeable about the need for service in the territory in which the applicant seeks authority, or a statement by a representative of a city, county or regional transportation planning organization who is knowledgeable about the need for service in the territory in which the applicant seeks authority.

(3) Auto transportation company certificate applications are subject to the application docket notice and objection provisions of WAC 480-30-116.

(4) The commission may set for hearing any auto transportation company certificate application.

(5) If no existing company files an objection under RCW 81.68.040, the commission may grant an original application or an extension of authority, if:

(a) The applicant demonstrates a need for service not provided by an existing auto transportation company holding a certificate by filing statements by independent members of the public who need the service or are knowledgeable about the need for service in the territory in which the applicant seeks authority, or a statement by a representative of a city, county or regional transportation planning organization who is knowledgeable about the need for service in the territory in which the applicant seeks authority;

(b) The applicant demonstrates the financial ability to provide the proposed service. "Financial ability" means that the applicant has sufficient financing or assets to begin operations and continue them for a reasonable period while developing business. This determination does not require a comprehensive analysis of cost and revenue estimates of the full scope of proposed operations and balancing start-up and long-run operating costs over an extended period; and

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-126, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-126, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-131 Certificates, overlapping applications, auto transportation company.

(1) The commission may consolidate applications for certificated auto transportation authority for joint consideration if:

(a) The authority requested in the applications overlaps in whole or in part; and

(b) The subsequent application was filed within thirty days of the date the initial application appears on the application docket.

(2) Applications for overlapping authority not filed within thirty days after the initial application appears on the application docket will be decided after the conclusion of proceedings resolving the initial application and any other application qualifying for joint consideration.

(3) When applications consolidated by the commission for joint consideration also contain requests for territory or services not overlapping that requested in the other application, and the nonoverlapping services or territory may be appropriately severed, the commission may decide the nonoverlapping portions of the application separately from the portions that do overlap.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-131, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-136 Procedure for applications subject to objection, information required of applicant and objecting company.

(1) The commission will consider applications for which an objection has been received through brief adjudicative proceedings under WAC 480-07-610, unless the presiding officer determines, based on the facts and circumstances presented, that a hearing or different process is required.

(2) After one or more companies file an objection to an application, the commission will issue a notice of brief adjudication to the objecting company and the applicant, and request the filing of additional information to determine the nature of the objection proceeding. This information may include, but is not limited to:

(a) Statements from independent witnesses provided by an objecting company to demonstrate that the objecting company is providing the same service as the proposed service, to the satisfaction of the commission.

(b) Statements from independent witnesses provided by an objecting company to demonstrate that the traveling public will be harmed by the granting of the application.

(c) Additional supplementary information, evidence or testimony provided by the applicant to demonstrate that public convenience and necessity requires the proposed service.

(3) In considering an objection filed by a company holding a certificate, the commission will determine whether or not the objecting company will provide the same service to the satisfaction of the commission.

(a) If the commission determines that the objecting company holds a certificate to provide the same service in the same territory, that the service is the same as proposed in the application, and that the objecting company is providing the same service to the satisfaction of the commission, the commission will not issue a certificate.

(b) If the commission determines that the objecting company will not provide the same service to the satisfaction of the commission, the commission may grant the application.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-136, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-136, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-140 Standards for determining "public convenience and necessity," "same service," and "service to the satisfaction of the commission."

(1) Public convenience and necessity.

(a) In the context of auto transportation services, "public convenience and necessity" means that every member of the public should be reasonably afforded the opportunity to receive auto transportation service from a person or company certificated by the commission.

(b) In reviewing applications under this chapter, the commission may, among other things, consider differences in operation, price, market features, and other essential characteristics of a proposed auto transportation service, tailoring its review to the individual circumstances of the application in evaluating whether the public convenience and necessity requires the commission to grant the request for the proposed service and whether an existing company is providing the same service to the satisfaction of the commission. The commission will also consider whether increased competition will benefit the traveling public, including its possible impact on sustainability of service.

(2) Same service. When determining whether one or more existing certificate holders provide the same service in the territory at issue, the commission may, among other things, consider:

(a) The certificate authority granted to the existing companies and whether or not they are providing service to the full extent of that authority;

(b) The type, means, and methods of service provided;

(d) Whether the population density warrants additional facilities or transportation;

(e) The topography, character, and condition of the territory in which the objecting company provides service and in which the proposed service would operate;

(f) For scheduled service, the proposed route's relation to the nearest route served by an existing certificate holder. The commission views routes narrowly for the purpose of determining whether service is the same. Alternative routes that may run parallel to an objecting company's route, but which have a convenience benefit to customers, may be considered a separate and different service; and

(g) Door-to-door service and scheduled service in the same territory will not be considered the same service.

(3) Service to the satisfaction of the commission.

(a) The determination of whether the objecting company is providing service to the satisfaction of the commission is dependent on, but not limited to, whether the objecting company:

(i) Holds authority to provide, and provides, the same service as proposed by the applicant in the same territory or the same subarea within the territory, for door-to-door service, or along the same route, for scheduled service, in which the service is proposed;

(ii) Has made a reasonable effort to expand and improve its service to consumers within the same territory or the same subarea within the territory, for door-to-door service, or along the same route, for scheduled service, in which the service is proposed;

(iii) Provides the service in a manner that is convenient, safe, timely, direct, frequent, expeditious, courteous and respectful, meets the advertised or posted schedules, fulfills commitments made to customers, meets consumer preferences or needs for travel, is responsive to consumer requests by reviewing the company's tariff and certificate in response to requests and when reasonable, proposing changes to the commission, and meets other reasonable performance expectations of consumers;

(iv) Has provided the same service as proposed by the applicant in the same territory or the same subarea within the territory, for door-to-door service, or along the same route, for scheduled service, in which the service is proposed, at fares competitive with those proposed by the applicant.

(b) Whether an objecting company will provide service to the satisfaction of the commission is based on the objecting company's performance regarding the criteria in (a) of this subsection prior to the date an application for proposed service is filed with the commission. The consideration period will depend on the circumstances, but will generally be for no more than one year. The commission will take into consideration extraordinary events, such as severe weather or unforeseeable disasters, when weighing the performance of an objecting company and consumer response to that performance. The commission will also take into consideration whether the testimony shows a pattern of behavior and whether the company has policies and procedures in place to mitigate or resolve alleged or actual service issues.

(c) In considering whether the objecting company has provided service to the satisfaction of the commission, the commission will consider statements or testimony from members of the public that they choose not to use the objecting company's services because the company fails to meet any of the satisfaction criteria identified in (a) of this subsection to the witness' satisfaction, unless the service failure was caused by extraordinary events as determined by the commission. Objecting companies may present witnesses to counter claims of an applicant and to substantiate the level of service and customer satisfaction provided.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-140, filed 8/21/13, effective 9/21/13.

Wash. Admin. Code § 480-30-141 Transferring or encumbering all or part of a passenger transportation company's certificate or authority.

(1) The commission must approve any sale, assignment, lease, transfer, or mortgage of an auto transportation, charter carrier, or excursion carrier company's certificate, or any portion of the operating authority described in a company's passenger transportation company certificate.

(2) To obtain commission approval for sale, assignment, lease, transfer, or mortgage, the parties to the transaction must jointly file an application with the commission seeking such approval.

(3) This rule does not apply to a change in ownership resulting from an acquisition of control of a corporation through stock sale or purchase. Refer to WAC 480-30-106.

(4) This rule does not apply to contracts between a passenger transportation company and another person or company for a driver or vehicle, or both, to provide service on behalf of the passenger transportation company.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-141, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-141, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-146 Certificates, name change.

(1) A company must file a name change application under the provisions of WAC 480-30-096 to:

(a) Change its corporate name;

(b) Change its trade name;

(d) Change the surname of an individual owner or partner to reflect a change resulting from marriage or other legal action.

(2) When filing a name change application, the applicant must include:

(a) Copies of any corporate minutes or other legal documents authorizing the name change; and

(b) Proof that the new name is properly registered with the department of licensing, office of the secretary of state, or other agencies, as may be required.

(3) If a name change results from a change in ownership the company must file an application to transfer the certificate according to the provisions of WAC 480-30-141.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-146, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-151 Certificates, refiling application prohibited, auto transportation company.

A person whose application for auto transportation company authority has been denied after hearing, dismissed for failure to appear at a hearing, or who has been found to be in default, may not refile the application for a period of six months from the date of the final order dismissing or denying the application.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-151, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-156 Certificates, temporary, auto transportation company.

(1) Temporary certificates prohibited. The commission is prohibited from granting a temporary certificate to operate in territory that is:

(a) Contained in an existing certificate, unless the existing certificate holder is not providing service to the satisfaction of the commission or does not object to the temporary certificate.

(b) Contained in a pending certificate application unless the temporary certificate application filing is made by the applicant or the applicant does not object to the temporary certificate.

(2) Requirements. Temporary certificate applications must meet the requirements of WAC 480-30-096.

(3) Public interest. The commission may grant a temporary certificate after determining that granting the requested authority is consistent with the public interest. In determining if the requested temporary authority is consistent with the public interest, the commission may consider factors including, but not limited to:

(a) The fitness of the applicant.

(b) The need for the requested service.

(d) Any other circumstances indicating that a grant of temporary authority is consistent with the public interest.

(4) Support statements required. Applicants for temporary certificates must include signed support statements from potential customers identifying all pertinent facts relating to need for the proposed service.

(5) Investigation of applications. Commission staff will investigate the facts surrounding an application and need for the proposed service before making a recommendation that the commission grant or deny an application for temporary certificate.

(6) Special terms, conditions, and limitations. The commission may impose special terms, conditions, and limitations in connection with the grant of any temporary certificate.

(7) Length of service allowed under temporary certificate. The commission may grant a temporary certificate for up to one hundred eighty days based on an estimate regarding how long it will take to complete review of the permanent certificate application. If a company files an auto transportation company certificate application and a temporary certificate application within thirty days of each other or files an auto transportation company certificate application within thirty days of the order granting the temporary certificate, then the temporary certificate will continue until the commission grants, denies, or dismisses the parallel certificate application, or until the temporary certificate is otherwise canceled, whichever happens first.

(8) Docketing. The commission will publish on its application docket a list of temporary certificate applications that the commission has received.

(9) Objections. An existing auto transportation company or applicant for certificate may file an objection opposing the grant or denial of a temporary certificate.

(10) Form of objections. Objections must:

(a) Be filed with the commission in writing within twenty days after the date the commission mails its notice;

(b) Contain a statement of the specific grounds on which the objection is made;

(d) Be served on the applicant; and

(e) Be served on the applicant's representative, if one is stated in the notice.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-156, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-156, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-161 Certificates, notice of purchase or condemnation, auto transportation.

(1) An auto transportation company must notify the commission in writing within thirty days of a public transit agency purchasing or condemning all or a portion of the company's certificated authority.

(2) Notice must include a cover letter identifying the company, the affected authority, and a copy of the document such as an ordinance, resolution, franchise, contract, or court order that results in the purchase or condemnation of the certificated authority.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-161, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-166 Agreements between auto transportation companies to provide service.

(1) An auto transportation company may enter into an agreement to allow another certificated auto transportation company to operate in the first company's territory or over its route(s) when the first company holds exclusive authority in the territory or over the route(s) to be served.

(2) The commission must approve the agreement before any service is provided. To apply for commission approval, the companies must jointly file a copy of the written agreement at least fifteen days before the proposed effective date of the agreement. Companies may request the fifteen-day approval period be waived in the case of an emergency.

(3) The agreement filed with the commission must clearly state:

(a) The first company will charge customers for service provided by the second company at rates contained in the first company's filed tariff.

(b) The first company will pay the second company for providing service in compliance with terms stated in the agreement.

(d) A provision for early termination of the agreement that includes at least five days' notice to the commission and to each party.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-166, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-166, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-171 Certificates, suspending and canceling.

(1) Cause for suspension. The commission may suspend a certificate for cause. Cause includes, but is not limited to:

(a) Failure to maintain evidence of required liability insurance coverage for all areas of a passenger transportation company's operations;

(b) Failure to file an annual report or pay required regulatory fees;

(d) Failure to comply with an auto transportation company's filed time schedule;

(e) Failure or refusal to comply with operating standards that protect the public health, safety, or welfare;

(f) Allowing others to operate under a provider's certificated authority without having first obtained commission approval, unless approval is not required under WAC 480-30-141 or 480-30-166;

(g) Operating in a manner that violates the rights of customers and/or constitutes an unfair or deceptive business practice; or

(h) Repeated failure or refusal to comply with laws and rules pertaining to operations of passenger transportation companies.

(2) Cause for cancellation. The commission may cancel a certificate for cause. Cause includes, but is not limited to:

(a) Operating without proper insurance;

(b) Failure to file an annual report or pay required fees;

(c) Failure to correct within the time specified in a suspension order all conditions listed in the suspension order that led to the certificate's suspension;

(d) Continued violations of laws and rules affecting the public health, safety, or welfare when the commission has reason to believe the passenger transportation company will not comply with those laws and rules following a specified period of suspension;

(e) Failure to supply requested information needed by the commission in the performance of its regulatory functions; or

(f) Submission of false, misleading or inaccurate information.

(3) Notice of pending suspension and cancellation. When the commission believes cause exists to suspend or cancel a certificate, it will issue a notice to the passenger transportation company of the commission's intention to suspend or cancel the authority.

(4) Contest of suspension and cancellation. A passenger transportation company may contest the pending suspension and/or cancellation of its certificate by requesting a hearing or brief adjudicative proceeding within ten days following the date of the notice.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-171, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-171, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-181 Certificates, reinstatement.

(1) The commission may reinstate a certificate canceled for cause under the provisions of WAC 480-30-171 if the company:

(a) Corrects all conditions leading to the cancellation; and

(b) Files an application to reinstate authority with the proper application fee within thirty days of the cancellation order service date.

(2) The commission may reinstate a certificate suspended under the provisions of WAC 480-30-171 if the company satisfies the terms of the suspension and all conditions leading to the suspension are corrected.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-181, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-186 Certificates, service interruptions or discontinued operations, auto transportation company.

(1) Interruptions in service.

(a) An auto transportation company must file a written report with the commission and must post appropriate public notice of any interruption in regular service that is likely to continue for more than twenty-four hours.

(i) The written report must contain a full description of the cause for the interruption.

(ii) The written report and notice to the public must state the anticipated duration of the interruption.

(iii) Notice to the commission may be made via regular mail, by fax, or by email.

(b) If an auto transportation company fails to notify the commission of any interruption in service that lasts five or more consecutive days, the commission will consider that the company has forfeited its certificate rights and the commission may institute administrative action to cancel the company's certificate of public convenience and necessity. Exception: The commission may allow resumption of operations after an interruption lasting five or more days if the auto transportation company can show that it was not responsible for the failure to provide service and that failure to notify the commission resulted from conditions outside the control of the company.

(2) Discontinuance of service. An auto transportation company must not temporarily or permanently discontinue operations authorized under its certificate without prior approval from the commission.

(a) A company requesting commission approval to discontinue operations must give at least thirty days' written notice to its customers, officials of cities and counties where affected passengers reside, and the commission.

(b) The auto transportation company must file a written request with the commission for approval to discontinue operations. The written request for commission approval must contain at least the following:

(i) The name, telephone number, mailing address, fax number (if any) and email address (if any) of a contact person;

(ii) An explanation of the company's reasons for requesting approval to discontinue operations;

(iii) An explanation of consequences for the company if the commission does not approve the request to discontinue operations;

(iv) A statement of the number of passengers, by class of service provided, who will lose service if the commission approves the discontinuance of operations;

(v) An explanation of options available to the customers who will lose service; and

(vi) If the request is for approval to temporarily discontinue service, the written request must contain a statement declaring the date by which the company will return to service.

(c) Upon receipt of a request to discontinue operations, the commission will assign a docket number to the filing and will act on the request under the commission's normal open meeting process.

(i) In considering the request for approval to discontinue operations, the commission may consider the information required in this section, in addition to other information it deems necessary on a case-by-case basis.

(ii) The commission may attach conditions to any grant of discontinuance of operations that it deems necessary to protect the rights and interests of the public.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-186, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-191 Bodily injury and property damage liability insurance.

(1) Insurance coverage. A company must have bodily injury and property damage liability insurance covering each motor vehicle used to provide passenger transportation services under the authority of the company's certificate in Washington.

(a) The insurance policy must be written by an insurance company authorized to write insurance in the state of Washington or by an unauthorized insurer providing surplus lines coverage subject to the provisions of RCW 48.15.040.

(b) The insurance policy must include the Uniform Motor Carrier Bodily Injury and Property Damage Liability Endorsement (Form F).

(c) If a company operates without the required insurance coverage, the commission may take immediate compliance action as described in WAC 480-30-171.

(2) Insurance limits. The minimum limits of required bodily injury and property damage liability insurance for motor vehicles operated by companies are:

| Motor vehicles that: | Must have bodily injury and property damage insurance or surety bond with the following minimum limits: | | --- | --- | | Have a passenger seating capacity of 15 or less (including the driver). | $1,500,000 combined single limit coverage. | | Have a passenger seating capacity of 16 or more (including the driver). | $5,000,000 combined single limit coverage. |

(3) Insurance filings. A company must file and maintain a Uniform Motor Carrier Bodily Injury Property Damage Certificate of Insurance (Form E) as a condition of being issued and maintaining a certificate to operate as a passenger transportation company.

(a) The Form E is a standard motor carrier insurance form recognized by the insurance industry and is normally filed with the commission by an insurance company rather than an insurance agent.

(b) The Form E must be issued in the company name exactly as it appears on the company's certificate or application for certificate.

(c) The Form E filing must remain in effect until canceled by a Notice of Cancellation (Form K). The Form K must be filed with the commission by the insurance company not less than 30 days before the cancellation effective date.

(d) A company may file a Uniform Motor Carrier Bodily Injury and Property Damage Liability Surety Bond (Form G) instead of the Form E.

(4) Insurance binders. The commission will accept an insurance certificate or binder for up to 60 days.

(a) An insurance certificate or binder may be canceled by written notice filed with the commission at least 10 days before the cancellation effective date.

(b) An insurance certificate or binder must be replaced by a Form E within 60 days of filing, or before the expiration date, whichever occurs first.

(i) The commission as the named insurance certificate holder;

(ii) The company name, exactly as it appears on the company's certificate or application for a certificate, as the insured;

(iii) The insurance company name;

(iv) The insurance policy number;

(v) The insurance policy effective and expiration dates;

(vi) The insurance limits of coverage; and

(vii) The agent's or other insurance representative's signature.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-191, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-191, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-191, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-196 Insurance cancellation.

If a company's insurance filing is canceled, and a new filing that provides continuous coverage is not filed before the cancellation effective date, the commission may:

(1) Dismiss a company's certificate application or withhold issuance of a certificate;

(2) Suspend or cancel a company's certificate under the provisions of WAC 480-30-171.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-196, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-201 Self-insurance.

(1) A company conducting interstate passenger transportation services that has qualified as a self-insurer under 49 U.S.C. § 13906 may be exempt from the bodily injury and property damage liability insurance filing provisions under these rules, provided the company files with the commission:

(a) A certified copy of the order issued by the Federal Motor Carrier Safety Administration showing that the company has qualified as a self-insurer;

(b) A certified statement that the company is operating under that self-insuring authority; and

(c) A certified statement that the self-insuring authority granted by the Federal Motor Carrier Safety Administration is in full force and effect.

(2) Upon the effective date of an order by the Federal Motor Carrier Safety Administration canceling a company's rights to act as a self-insurer, that company must file with the commission proper bodily injury and property damage liability insurance or surety bond as required by WAC 480-30-191.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-201, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-216 Operation of motor vehicles, general.

(1) Discrimination prohibited. All companies providing passenger transportation service under the provisions of this chapter must provide that service consistent with federal and Washington state nondiscrimination laws and rules.

(2) Inspection of baggage and other materials passengers wish to be carried in or on a motor vehicle. Auto transportation companies are responsible for the safety and comfort of all passengers transported. To ensure the safety and comfort of passengers and employees it may be necessary for companies to inspect baggage and other materials to be transported in or on motor vehicles.

(a) Companies must include in their filed tariffs, in information provided to passengers, and on their tickets, information that advises passengers that all baggage and other materials to be carried in or on a motor vehicle is subject to inspection by the company.

(b) The information required by (a) of this subsection must include a list of examples of materials that will not be accepted for transportation. Examples may include, but are not limited to, the following items:

(i) Articles whose transportation as baggage are prohibited by law or regulation;

(ii) Fragile or perishable articles;

(iii) Articles whose dimensions exceed the size limitations in the company's filed tariff;

(iv) Packages, bags, or parcels that are leaking;

(v) Firearms;

(vi) Articles that have foul and obnoxious odors; or

(vii) Items that cause annoyance, discomfort, or harm to persons or property.

(3) Service requirement.

(a) An auto transportation company is a public service company with an obligation to provide service to the satisfaction of the commission to all customers within its certificated authority.

(b) Except to the extent allowed by WAC 480-30-451, no driver or operator of a motor vehicle used in the transportation of passengers by an auto transportation company shall refuse to carry any person presenting him or herself at a regular stopping place who tenders the appropriate fare. Exception: Companies limiting operations to passengers with prior reservations are not subject to this provision.

(4) Passenger loading capacity. No motor vehicle used in the transportation of passengers will carry more passengers than can be carried safely. In no case will a motor vehicle transport more than one hundred fifty percent of its rated seating capacity.

(5) Standing passengers. No passenger will be permitted to stand unless the vehicle is equipped with devices designed and permanently installed to provide stability and safety for standing passengers. Even if the vehicle is properly equipped, no passenger will be permitted to stand for a distance exceeding thirty-five miles.

(6) Double-decker bus. Any company that operates a double-decker bus must comply with the maximum height vehicle requirement of RCW 46.44.020.

(7) Reserve equipment. All auto transportation companies must own, lease, or contract for sufficient reserve equipment to ensure the company is reasonably able to provide its certificated service.

(8) Smoking in motor vehicles.

(a) Smoking or carrying lit cigars, cigarettes, or other smoking materials is prohibited in vehicles.

(b) Each company must post signs in its vehicles informing passengers that smoking is not permitted.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-216, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-216, filed 1/4/16, effective 2/4/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-216, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-221 Vehicle and driver safety requirements.

(1) A passenger transportation company must ensure that all vehicles and drivers used to provide passenger transportation services under the authority of the company's certificate comply with all federal, state, local laws and rules, and commission orders, governing licensing, vehicle safety, and driver safety. Except for vehicles with a seating capacity of eight or fewer passengers (including the driver) and the drivers of those vehicles, in which case the company must comply with the requirements in WAC 480-30-222, companies must also comply with the parts of Title 49, Code of Federal Regulations (49 C.F.R.), adopted by reference, that are shown in the following chart. Information about 49 C.F.R., including the version adopted by the commission and where to obtain copies is set out in WAC 480-30-999.

| 49 C.F.R. Part: | Notes: | | | --- | --- | --- | | Part 40 - | Procedures For Transportation Workplace Drug and Alcohol Testing Programs | Entire Part 40 is adopted and applies to Washington intrastate operations. | | Part 382 - | Controlled Substance and Alcohol Use and Testing | Entire Part 382, is adopted and applies to Washington intrastate operations. | | Part 383 - | Commercial Driver's License Standards; Requirements and Penalties | Entire Part 383, is adopted and applies to Washington intrastate operations. | | Part 379 - | Preservation of Records | Entire Part 379 is adopted and applies to Washington intrastate operations. | | Part 380 - | Special Training Requirements | Entire Part 380 is adopted and applies to Washington intrastate operations. | | Part 385 - | Safety Fitness Procedures | Entire Part 385 is adopted and applies to Washington intrastate operations. | | Part 390 - | Safety Regulations, General | Entire Part 390 is adopted and applies to Washington intrastate operations, with the following exceptions: | | | | (1) The terms "motor vehicle," "commercial motor vehicle," and "private motor vehicle" are not adopted. Instead, where those terms are used in Title 49 C.F.R., they have the meanings assigned to them in WAC 480-30-036. | | | | (2) Whenever the term "director" is used in Title 49 C.F.R., it means the commission. | | Part 391 - | Qualification of Drivers | Entire Part 391 is adopted, with the following exceptions: | | | | (1) Part 391.49 (alternative physical qualification standards for the loss or impairment of limbs) is not adopted for drivers who operate vehicles exclusively intrastate. Instead refer to WAC 480-30-226 for intrastate medical waivers. | | Part 392 - | Driving of Motor Vehicles | Entire Part 392 is adopted and applies to Washington intrastate operations. | | Part 393 - | Parts and Accessories Necessary for Safe Operation | Entire Part 393 is adopted and applies to Washington intrastate operations. | | Part 395 - | Hours of Service of Drivers | Entire Part 395 is adopted and applies to Washington intrastate operations. | | Part 396 - | Inspection, Repair, and Maintenance | Entire Part 396 is adopted and applies to Washington intrastate operations. | | Part 397 - | Transportation of Hazardous Materials, Driving and Parking Rules | Entire Part 397 is adopted and applies to Washington intrastate operations. |

(2) Companies must: Ensure that all motor vehicles used to provide certificated service are maintained in a safe and sanitary condition and are free of defects likely to result in an accident or breakdown.

(3) No company, its agents, contractors, officers, or employees will allow any animal, article, commodity, or substance to be loaded in or on any motor vehicle used by the company to provide certificated services to transport passengers that is dangerous to the lives and safety of passengers.

(4) No company, its agents, contractors, officers, or employees will allow any article, commodity, or substance to be loaded in or on any motor vehicle used by the company to provide certificated services to transport passengers that is prohibited by the hazardous materials rules in Title 49 C.F.R. from being transported on passenger-carrying vehicles.

(5) All motor vehicles and drivers operating under the provisions of this chapter and used to provide certificated services are subject to inspection by the commission or its duly authorized representatives at all times.

(6) All motor vehicles must be equipped with fenders, covers, mud flaps, or splash aprons which effectively reduce the spray or splash of water from the road. All such devices must be as wide as the tires on which they are mounted, and must extend from the top of the tires down to at least the center of the axle.

(a) The commission will place out-of-service a motor vehicle with safety defects identified in the North American Uniform Out-of-Service Criteria. A carrier must not require or permit a driver to operate a vehicle placed out-of-service until all out-of-service violations have been satisfactorily repaired so that no violation(s) exists.

(b) The commission will place out-of-service a driver who operates a motor vehicle subject to an out-of-service order. No driver shall operate a commercial motor vehicle subject to an out-of-service order until all repairs required by the out-of-service order have been satisfactorily repaired. A driver subject to an out-of-service order shall not operate a commercial motor vehicle until the reason for the out-of-service order has been remedied.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-221, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-221, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-30-221, filed 1/25/11, effective 2/25/11. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-221, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-222 Vehicles with capacity for eight or fewer passengers (including the driver).

A company must ensure compliance with the requirements of this section for all vehicles with a capacity of eight or fewer passengers (including the driver) used to provide passenger transportation service under the authority of the company's certificate and for all drivers of those vehicles. Regardless of whether a record required under this section is maintained by the certificated company or its contractor, the certificated company must make the record available to the commission upon request within 48 hours of the request.

(1) All vehicles must be inspected annually by a mechanic who has successfully passed the applicable examinations of, and met the applicable experience requirements prescribed by, the National Institute for Automotive Service Excellence, and certified by the mechanic as safe to operate.

(2) At the beginning and end of each day's work, the driver must check each vehicle the driver operates to determine if the lights, brakes, tires, steering, seat belts, and other safety and operating equipment are working properly. The driver must document the inspection the driver performs at the end of each day.

(3) Records of inspection, repair, and maintenance indicating the date and nature of the inspection, repair, or maintenance must be kept by the certificated company or contractor for a period of three years.

(4) Drivers used to operate vehicles with a capacity of eight or fewer passengers (including the driver) must have the following qualifications when operating a vehicle on behalf of a certificated company:

(a) Be licensed to drive in the state of Washington;

(b) Be a safe driver as demonstrated by a complete driving record from the Washington department of licensing and a complete driving record from any other state in which the driver held a driver's license in the previous five years;

(c) Have not been convicted within the past five years of hit-and-run, reckless driving, attempting to elude an officer by using a vehicle, vehicular assault, vehicular homicide, reckless endangerment, negligent driving in the first degree, or driving under the influence of alcohol or a controlled substance, and have not been convicted within the past five years of a crime pertaining to physical violence or crimes reasonably related to the driver's honesty including, but not limited to, robbery, fraud, theft, extortion, assault, or identity theft, as demonstrated by a state criminal background check;

(d) Have not been required to register as a sex offender or been convicted of a sex offense or been convicted of a kidnapping offense against a minor;

(e) Have been medically examined and certificated by a medical examiner who is listed on the National Registry of Certified Medical Examiners, and be physically and mentally qualified to operate a passenger carrying vehicle for compensation; and

(f) Have passed a defensive driving course certified by the National Safety Council or passed an equivalent course approved by the commission.

(5) The certificated company must verify and document the driver's qualifications under this section prior to initially allowing the driver to operate a vehicle under the company's authority and at least once every 12 months thereafter during the time of employment or the contract.

(6) A driver shall not be in control of a vehicle more than 12 consecutive hours. The 12 hours can be spread over a 15 hour period within 24 hours. Thereafter, the driver shall not drive a vehicle until the driver takes eight consecutive hours off duty.

(7) The certificated company or contractor must keep or require its contractors to keep, and provide or make available to the commission on request, the following records for the specified time periods:

(a) All documents related to driver hours for a period of at least six months;

(b) Verification of each driver's qualifications for the duration of the driver's employment or contract with the certificated company and for three years thereafter; and

(c) All documents related to any vehicle collisions or other accidents that occur while driving for compensation for a period of at least three years from the date of the accident. Such records must include copies of all accident reports and any other documents that identify the date and geographic location of the accident, the driver name, the number of fatalities or persons injured and a description of those injuries. The certificated company must ensure that its contractors immediately notify the certificated company of any accident or motor vehicle violation that occurs while driving for compensation.

(8) The commission will place a motor vehicle or driver out-of-service for the purposes of use by a certificated company if the vehicle or driver fails to meet any of the requirements in this section.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-222, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-222, filed 7/31/17, effective 8/31/17.

Wash. Admin. Code § 480-30-226 Intrastate medical waivers.

(1) Department of licensing intrastate medical waiver. A passenger transportation company may use a driver that is not physically qualified to drive a commercial motor vehicle under Title 49 C.F.R. Part 391.41, if the driver:

(a) Only operates motor vehicles intrastate, wholly within the state of Washington; and

(b) Has obtained from the Washington state department of licensing an intrastate medical waiver to drive a commercial motor vehicle.

For the purposes of a department of licensing medical waiver, a commercial motor vehicle means a motor vehicle:

(i) With a gross vehicle weight rating of 26,001 pounds or more;

(ii) Transporting 16 or more passengers, including the driver; or

(iii) With a manufacturer's seating capacity of 16 or more passengers, including the driver.

(2) Doctor's statement of intrastate medical waiver. A passenger transportation company may use a driver that is not physically qualified to drive a commercial motor vehicle under Title 49 C.F.R. Part 391.41 or WAC 480-30-222, as applicable, if the driver:

(a) Holds a valid Washington state driver's license;

(b) Has received a doctor's statement that:

(i) The driver's medical condition is not likely to interfere with the driver's ability to safely operate a commercial motor vehicle; and

(ii) The driver's condition is likely to remain stable for the next two years or other specified date, but not more than the two years that the medical certificate is valid.

(i) With a gross vehicle weight rating under 26,001 pounds;

(ii) Transporting 15 or fewer passengers, including the driver; or

(iii) With a manufacturer's seating capacity of 15 or fewer passengers, including the driver.

(3) Driver qualification files. A passenger transportation company that uses a driver under an intrastate medical waiver must maintain in the driver's qualification file a physical or digital copy of the doctor's statement of intrastate medical waiver.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-226, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-226, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-226, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-231 Vehicle and driver identification.

(1) Unless otherwise prohibited by law, a passenger transportation company must ensure that all motor vehicles used to provide passenger transportation services are clearly and easily identifiable as being operated under the authority of the company.

(a) Each motor vehicle must display the certificate holder's name (or registered trade name) and certificate number on each side of the vehicle. A company with both intrastate and interstate operations may display its U.S. Department of Transportation identification number in addition to, or in place of, its commission-issued certificate number.

(b) Each motor vehicle operated in regular route service with scheduled stops must display a suitable destination sign.

(c) Each motor vehicle operated in transportation of passengers must display on the vehicle a company identification or unit number.

(d) All identifications must be:

(i) Legible, during daylight hours, from 50 feet while the motor vehicle is not moving.

(ii) In a color that contrasts with the background color of the motor vehicle.

(e) All company owned vehicles must have permanent identification.

(f) Permanent. Exception: Companies may use temporary markings on vehicles when operated under a lease agreement with a term of 30 calendar days or less.

(2) An auto transportation company must ensure that all drivers operating motor vehicles in the transportation of passengers are clearly and easily identifiable as driving under the authority of the company. Identification may include, but is not limited to, an identification badge or a uniform with a name tag identifying the driver by name or number. If applicable law prohibits the vehicle from being marked as required under subsection (1) of this section, the driver must have an identification badge or name tag clearly visible on the driver's person and must carry a sign at the point of pickup with the name of the certificated company and the name of the passenger(s) to be picked up clearly printed.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-231, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-231, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-231, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-236 Leasing vehicles.

(1) A passenger transportation company operating a leased vehicle must have a physical or digital copy of the lease agreement with the owner of the vehicle.

(2) It is the company's responsibility to ensure that:

(a) A physical or digital copy of the lease is carried in each leased vehicle, unless the vehicle's registration names the certificate holder as registered owner or lessee.

(b) A physical or digital copy of the lease is kept in the company's files during the effective period of the lease and for one year after the lease expires.

(d) The driver of the leased vehicle is on the carrier's payroll during the leased period.

(e) The leased vehicle is operated in compliance with laws and rules as specified in WAC 480-30-216 and 480-30-221.

(f) The driver of the leased vehicle is subject to the company's alcohol and controlled substance policies.

(g) The company and the owner of the leased vehicle specify on the lease form who is responsible for all expenses relating to the leased motor vehicles.

(h) The company complies with the terms of the lease.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-30-236, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [ 81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-236, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-236, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-241 Commission compliance policy.

(1) The commission is authorized to administer and enforce laws and rules relating to passenger transportation companies. The commission may delegate authority to the commission staff to inspect equipment, drivers, records, files, accounts, books, and documents. The commission may also delegate to its staff authority to place vehicles and drivers out-of-service and to arrest without warrant, or issue citations to any person found violating this chapter in the presence of its staff as provided under RCW 81.04.460.

(2) The commission encourages voluntary compliance with statutes, rules, and commission orders.

(3) The commission will enforce statutes, rules, and commission orders through:

(a) A program emphasizing education and technical assistance.

(b) A compliance program including:

(i) Investigation and resolution of complaints;

(ii) Safety compliance reviews of drivers and equipment;

(iii) Economic compliance audits including, but not limited to, rates and billing practices of auto transportation companies;

(iv) Coordinated roadside enforcement; and

(v) Cooperative agreements with other agencies to enable effective enforcement and appropriate use of resources.

(4) Where necessary to ensure compliance with statutes, rules, and commission orders, the commission may pursue:

(a) Administrative actions that the commission believes will best ensure future compliance by the violating company, including, but not limited to, warnings, sanctions, or penalty assessments under the provisions of chapter 81.04 RCW;

(b) Suspension or cancellation of a company's certificate:

(i) When the commission believes education and penalties have not been, or will not be, effective to secure compliance;

(ii) For willful violations of legal requirements; or

(iii) For serious actions including, but not limited to, misrepresentation;

(d) Proceedings in district and superior court.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-241, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-244 Liquor permit required.

(1) A charter party carrier or excursion service carrier operating a party bus must be in compliance with the requirements of RCW 81.70.380.

(2) A charter party carrier or excursion service carrier operating a party bus must be in compliance with Title 66 RCW.

(3) A copy of the liquor permit obtained by any party under Title 66 RCW must be maintained with the contract of carriage for at least six months from the ending date of the trip.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-244, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-244, filed 1/4/16, effective 2/4/16.

Wash. Admin. Code § 480-30-246 Sanctions for operating without a valid certificate.

(1) Operating without a certificate - Auto transportation companies.

(a) If a representative of the commission or other law enforcement agency observes a company operating as a passenger transportation company without a certificate from the commission, that company is subject to a gross misdemeanor citation, for which the company must appear in court.

(b) If the commission receives information that a company is operating as a passenger transportation company without a certificate, and a commission representative or other law enforcement agency has not observed those operations, the commission may:

(i) Issue a citation through the court; or

(ii) Contact the company and provide education and technical assistance concerning applicable regulations. This includes giving the company a copy of the applicable laws, rules, and certificate application forms.

(c) If the company continues to operate without a certificate after commission education and technical assistance is offered, the commission may begin an administrative proceeding to classify the company as a regulated company under RCW 81.04.510. If, as a result of that proceeding, the commission formally classifies the company as an auto transportation company or a charter and excursion carrier operating without the required certificate, the commission will issue a cease and desist order under RCW 81.04.510.

(d) If a company operates in violation of a commission order, the commission may impose penalties and/or take legal action in court.

(2) Operating without a certificate – Charter and excursion service carriers.

(a) For the purposes of this section, "engage in the business of a charter party carrier or excursion service carrier" includes advertising or soliciting, offering or entering into an agreement to provide such service.

(b) Each advertisement reproduced, broadcast or displayed via a particular medium constitutes a separate violation.

(c) Any person who engages in the business of a charter party carrier or excursion service carrier in violation of (a) of this subsection is subject to a penalty of up to five thousand dollars per violation.

(3) Operating while certificate is suspended - Auto transportation company. A company that operates after the commission suspends the company's certificate is subject to:

(a) Misdemeanor or gross misdemeanor citations, for which the company must appear in district court;

(b) Monetary penalty assessments or other commission administrative actions; or

(4) Operating after certificate is canceled - Auto transportation company. A company that continues to operate after the commission cancels the company's certificate is subject to:

(a) Misdemeanor or gross misdemeanor citations, for which the company must appear in district court; and

(b) Enforcement proceedings in superior court.

(5) Operating while certificate is suspended or canceled - Charter party or excursion service carriers.

(a) Operations includes advertising or soliciting, offering or entering into an agreement to provide such service.

(b) Each advertisement reproduced, broadcast, or displayed via a particular medium constitutes a separate violation.

(c) Any person who engages in the business of a charter party carrier or excursion service carrier in violation of subsection (2)(a) of this section is subject to a penalty of up to five thousand dollars per violation.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 16-02-076 (Docket TE-151080, General Order R-583), § 480-30-246, filed 1/4/16, effective 2/4/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-246, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-251 Charter and excursion carriers not subject to provisions of Part 7.

The rules in Part 7 of this chapter relating to tariffs, time schedules, rates, and rate filings apply only to auto transportation companies. Charter and excursion carriers are not subject to the provisions of this part.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-251, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-256 Tariffs and time schedules, federal preemption.

(1) The commission interprets the provisions of 49 U.S.C. § 14501 as preempting the requirements of state laws and regulations relating to intrastate fares for the transportation of passengers by an interstate motor carrier of passengers operating over a regular route authorized by the Federal Motor Carrier Safety Administration (FMCSA). Because of this federal preemption, the commission will no longer require the filing of rate tariffs or time schedules for the transportation of passengers in Washington intrastate commerce by interstate motor carriers of passengers, if that transportation is provided over a regular route authorized by the FMCSA.

(2) Auto transportation companies operating in Washington intrastate commerce on routes not authorized by the FMCSA are subject to the tariff and time schedule rules contained in this chapter.

(3) Auto transportation companies operating over routes authorized by the FMCSA and over routes not authorized by the FMCSA must file tariffs and time schedules for those routes not authorized by the FMCSA.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-256, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-261 Tariffs and time schedules, definitions used in.

Definitions of general terms and terms specific to driver and equipment safety are contained in WAC 480-30-036 and 480-30-216, respectively. Unless the language or context indicates that a different meaning is intended, the following definitions apply:

"Charge" means a fare or rate assessed by an auto transportation company for providing a service other than the transportation of a passenger(s). For example: The charge for carrying extra baggage on board the bus.

"Checked baggage" means passenger baggage that is accepted for transportation but is not carried in the passenger compartment of the vehicle.

"Fare" means an amount in the company's tariff assessed for services provided by an auto transportation company. The term "rate" has the same meaning.

"Joint fare" means a fare or rate assessed by an auto transportation company for the transportation of a passenger(s) that applies from a point located on one auto transportation company's route to a point located on another auto transportation company's route, made by agreement or arrangement between the companies. A joint fare agreement is also known as a through-ticketing agreement.

"Local fare" means a fare or rate charged by an auto transportation company for the transportation of a passenger(s) between stations within a single company's authority.

"Long and short haul clause" means a clause that prohibits an auto transportation company from charging more for a shorter than for a longer haul over the same route.

"Rate" means an amount in a company's tariff assessed for services provided by an auto transportation company. The term "fare" has the same meaning.

"Sales commission" means a fee paid to an agent for selling tickets on behalf of an auto transportation company.

"Seasonal fares and seasonal time schedules" means tariffs or time schedules naming different fares, routes, or arrival and/or departure times for different periods of the year. For example: A company may offer more scheduled routes during certain periods than it does in others; or, a company may assess different fares in heavily traveled months than it does during off-peak months.

"Through fare" means a single fare or rate applying from point of origin to point of destination that combines two or more fares or rates in one auto transportation company's tariff or fares or rates from two or more auto transportation companies.

"Ticket price" means a fare or rate assessed by an auto transportation company for the transportation of a passenger(s).

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-261, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-261, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-266 Tariffs and time schedules, general.

(1) Tariffs and time schedules no longer subject to chapter 480-149 WAC. As of the effective date of these rules, those auto transportation companies that are required to file Washington intrastate tariffs and time schedules are no longer subject to tariff and time schedule provisions of the commission's Tariff Circular No. 6 (chapter 480-149 WAC). Auto transportation companies are instead subject to, and must comply with, the tariff and time schedule requirements of this chapter.

(2) Additional regulatory requirements. Auto transportation companies are also subject to additional rules regarding tariff and time schedule filings contained in chapter 480-07 WAC, including, but not limited to:

(a) WAC 480-07-160 Confidential information; and

(b) WAC 480-07-145 Filing documents in adjudicative proceedings.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-266, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-271 Tariffs and time schedules, must file before starting service.

(1) Tariffs. No auto transportation company subject to tariff filing requirements of Part 7 of this chapter will provide service until it files a tariff with the commission and the commission approves that tariff or allows it to become effective by operation of law.

(2) Time schedules. No auto transportation company subject to time schedule filing requirements of Part 7 of this chapter will provide service until it files a time schedule with the commission and the commission approves that time schedule or allows it to become effective by operation of law.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-271, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-276 Tariffs and time schedules, companies must comply with the provisions of filed tariffs and time schedules.

(1) Tariffs. Except as authorized by the commission pursuant to WAC 480-30-420, no auto transportation company may assess rates that are higher, lower, or different from those contained in the company's filed tariff. Further, no auto transportation company may accept a payment for service provided that is higher, lower, or different from the rates contained in the company's filed tariff.

(2) Time schedules. An auto transportation company must provide service along all routes, and to all points, listed on the company's filed time schedule. Further, an auto transportation company must make a good faith effort to operate in compliance with the times of arrival and/or departure shown on the company's filed time schedule.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-276, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-276, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-281 Tariffs and time schedules, content.

(1) Tariffs. The tariff filed with the commission by an auto transportation company must show all rates it will impose on its customers, together with rules that govern how those rates will be assessed. The tariff must contain, but is not limited to the following sections:

(a) A title page meeting the requirements of WAC 480-30-341;

(b) A rules section meeting the requirements of WAC 480-30-356;

(d) A map meeting the requirements of WAC 480-30-351 and 480-30-051.

(2) Time schedules.

(a) The time schedule filed with the commission by an auto transportation company must be filed as a separate document or as a section of the company's tariff. The filed time schedule must provide sufficient information to allow prospective passengers to make informed decisions regarding their travel arrangements.

(b) The time schedule filed by an auto transportation company that provides scheduled service must contain, but is not limited to:

(i) The times of arrival at, and/or departure from, all termini.

(ii) The times of arrival at, and/or departure from, all intermediate points served.

(iii) The distance between all points shown in the schedule.

(iv) A list of all flag stops at which the company will provide service.

(v) A list of points the company is authorized to serve but is not serving, if any, and the reason.

(c) The time schedule filed by an auto transportation company that provides nonscheduled service must contain, but is not limited to:

(i) Days of the week that the company's service is available.

(ii) Hours of the day that the company's service is available.

Example: A carrier providing door-to-door airporter service by reservation only may state in its time schedule that it offers service between the hours of 6:00 a.m. and 12:00 midnight, seven days a week.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-281, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-286 Tariffs and time schedules, posting.

An auto transportation company must maintain a copy of its filed tariff and its filed time schedule in the company's offices, each passenger facility, and the company's internet website, if the company maintains an internet website, and must make these documents available to customers for inspection on request.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-286, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-286, filed 8/21/13, effective 9/21/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-286, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-291 Tariffs, rates, general.

(1) Tariffs must provide adult fares, stated in dollars and cents, per passenger, together with the names of the stations or stopping places to or from which those fares apply, arranged in a simple and systematic manner.

(2) The tariff must clearly state whether fares apply "one way" or "round trip."

(3) Fares applying to specific groups of passengers must clearly define the criteria that define that group. For example, "children, under two years of age" or "active military personnel with military identification."

(4) Fares applying during specific periods must be clearly labeled with definitions of those periods. For example: A company may charge one fare during peak service months, and charge a different fare during off-peak service months.

Illustration of rate page:

| | | --- | | |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-291, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-296 Tariffs and time schedules, rejection.

The commission will reject tariff or time schedule filings that:

(1) Are not accompanied by the required transmittal letter;

(2) Are not accompanied by all required documentation;

(3) Do not contain all required information;

(4) Do not comply with format rules;

(5) Are not accompanied by required maps;

(6) Reflect retroactive rate treatment;

(7) Are not filed as provided in the notice requirements shown in WAC 480-30-301 through 480-30-316; or

(8) Contain provisions that conflict with state statutes, commission rules, or an auto transportation company's certificated authority.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-296, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-301 Tariffs and time schedules, one business-day notice to the commission.

A company must provide at least one business-day notice to the commission for the following filings:

(1) Initial tariff and time schedule filings that accompany applications for certificated authority;

(2) Tariff and time schedule adoptions filed under the provisions of WAC 480-30-376; and

(3) Tariff and time schedule filings whose only purpose is to add a new service option or a service level which has not been previously included in the company's tariff.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-301, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-306 Tariffs and time schedules, one calendar day notice to the commission.

A company must provide at least one calendar day's notice to the commission for filings whose only purpose is to implement decreases in rates.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 06-23-058 (Docket TC-060177, General Order No. R-539), § 480-30-306, filed 11/8/06, effective 12/9/06. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-306, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-311 Tariffs and time schedules, requiring thirty calendar day notice to the commission.

A company must provide at least thirty calendar days' notice to the commission for any filing that will result in an increase in rates to customers.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-311, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-316 Tariffs and time schedules, customer notice requirements.

(1) Notice. Each auto transportation company must provide notice to its customers at least thirty days prior to the stated effective date for any proposed tariff change that would increase recurring or prepaid rates or restrict access to services (e.g., rate increase, route reduction, time schedule change).

(2) Thirty-day notice to public. At least thirty days prior to the stated effective date, the company must post a notice in a conspicuous place for each affected route or routes. The published notice must remain posted until the commission takes action on the request. The notice must be posted:

(a) At the company's office;

(b) At each passenger facility; and

(c) On the company's internet website, if the company maintains an internet website accessible to the public through which it sells its transportation services and posts its rates or time schedules.

(3) Content of postings. The published notice required by this rule must include:

(a) The date the notice is issued;

(b) The company's name, address, and telephone number;

(d) The requested effective date;

(e) A description of how customers may contact the company if they have specific questions or need additional information about the proposal;

(f) A description of how customers may contact the commission to comment or oppose the company's proposal.

(4) Other customer notice. The commission may require additional notice to customers other than described in this rule when:

(a) The commission is holding a public hearing in a contested case;

(b) A company proposal may have a significant impact on customer rates or access to services; or

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-316, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-316, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-321 Tariffs and time schedules, notice verification and assistance.

(1) Within five days of making a filing requiring posting of a customer notice under WAC 480-30-316, but no sooner than the date the filing is submitted to the commission, a company must file a statement with the commission's records center that the required notice has been posted. The declaration must include:

(a) Description of where the notice was posted;

(b) Date the notice was posted; and

(2) A company may request assistance from the commission's consumer affairs section in preparing notice.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-321, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-326 Tariffs and time schedules, less than statutory notice handling.

(1) The commission may allow auto transportation company tariff or time schedule filings to become effective with less notice than is shown in WAC 480-30-306 and 480-30-311 when there is an emergency or when good cause is shown. This process is known as "less than statutory notice" (LSN) handling.

(2) LSN application process. An auto transportation company filing for LSN handling may use an LSN form supplied by the commission, or a letter containing at least the following information:

(a) Company identification information:

(i) Name and registered trade name;

(ii) Certificate number;

(iii) Mailing address;

(iv) Telephone number, email address, and fax number; and

(v) The name and telephone number of a person to contact regarding the filing;

(b) Tariff or time schedule identification information:

(i) The identifying number and title of the tariff or time schedule being amended;

(ii) The identifying number and title of the tariff or time schedule item(s) being amended; and

(iii) The identifying number of the tariff or time schedule page being amended;

(d) A statement of the reason(s) for requesting LSN handling; and

(e) The effective date requested.

(3) Dates on pages. Granting LSN handling is at the discretion of the commission. All tariff or time schedule pages accompanying an application for LSN handling must display the effective date that would apply were the company not requesting LSN handling. If the commission grants the company's request for LSN handling, commission staff will enter the effective date authorized by the commission's order on the tariff or time schedule pages before returning copies to the company.

(4) Notice requirements. An auto transportation company requesting LSN handling of a filing must post notice in its offices, passenger facilities, and on all vehicles concurrent with submitting the filing to the commission. The company must file a copy of its public notice with the application for LSN handling.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-326, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-331 Tariffs and time schedules, format and size requirements.

(1) An auto transportation company must file tariffs and time schedules that:

(a) Are filed in loose-leaf format;

(b) Are typed or mechanically printed (not handwritten) using at least ten-point type; and

(2) Auto transportation companies are encouraged to file their tariffs and time schedules electronically, according to established commission policies and procedures.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-331, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-336 Tariffs and time schedules, changes must be identified.

Each change in rates, times of arrival and/or departure, routes, schedules, or rules must be clearly identified in filed tariffs and time schedules by using one of the following methods:

(1) By printing the appropriate code symbol immediately to the left of the material being changed. Approved symbols are:

| | | --- | | |

(2) By printing a notice in distinctive type at the location defined in the following table:

| If the changes affect: | The notation must state: | The notation must be printed: | | | --- | --- | --- | --- | | All rates on a tariff page or on a tariff supplement page. | All rates on this page are _________ (Company would state in the blank the nature of the changes, using one of following terms: | In the top margin of the page. | | | | • | Increases; | | | | • | Decreases; or | | | | • | Wording changes resulting in neither increases nor decreases.) | | | All rates in a tariff. | All rates in this tariff are __________ (Company would state in the blank the nature of the changes, using one of following terms: | In the top margin of the title page. | | | | • | Increases; | | | | • | Decreases; or | | | | • | Wording changes resulting in neither increases nor decreases.) | | | All times of arrival and/or departure. | All times of arrival and/or departure on this page are changed. | In the upper corner of the page. | |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-336, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-341 Tariffs and time schedules, title pages.

(1) Tariff. The title page of every auto transportation tariff filed with the commission must show at least the following:

(a) The certificate name of the auto transportation company, its certificate number, and all trade names filed with the commission to which the tariff applies.

(b) An identifying tariff number.

(c) The number of any tariff being canceled by the tariff to which the title page applies (canceling a tariff also cancels all supplements applying to that tariff).

(d) The types of services covered by the tariff. For example: "Rates for passenger service" or "rates and time schedule for passenger service."

(e) A clear description of the territory and routes to which the tariff applies;

(f) The date the tariff is issued and the date it becomes effective;

(g) The name, title, telephone number, fax number (if any), email address (if any), and mailing address of the person who files the tariff; and

(h) A box that is at least three-fourths of one inch in height, spans from margin to margin, and is labeled "for official use only."

(2) Time schedule. If the time schedule is filed as a separate document, not part of the auto transportation company's tariff, the title page of a time schedule must include the same information as is required in subsection (1)(a) through (h) of this section. If the time schedule is filed as a section or part of an auto transportation company's tariff, no separate title page is required.

Illustration of a sample tariff title page:

| | | --- |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-341, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-346 Tariffs and time schedules, page format.

(1) Tariff. All pages in an auto transportation company's tariff, except the title page, must include the following:

(a) A page header that includes:

(i) The identifying number of the tariff and canceled number, if any;

(ii) A page number and canceled number, if any;

(iii) A revision number and canceled number, if any;

(iv) The name and certificate number of the company filing the tariff; and

(v) Any applicable registered trade name.

(b) A page footer that includes:

(i) The name of the person filing the tariff;

(ii) The date the page is issued;

(iii) The date the page becomes effective; and

(iv) A box that is at least three-fourths of an inch in height, spanning from margin to margin, that is labeled "for official use only."

Illustration of a sample tariff page:

| | | --- |

(2) Time schedule. An auto transportation company's filed time schedule must:

(a) Be numbered consecutively in the upper right-hand corner, beginning with number one, and must show the number of the time schedule canceled by it, if any. See sample time schedule.

(b) Show the company's identifying information, including but not limited to:

(i) The company's official name, as shown on the company's certificate;

(ii) The company's registered trade name(s), if any; and

(iii) The company's certificate number.

(d) Show the routes served, including the exact location of each regular stop, each flag stop, and any point to which service is provided.

(e) Show points the company is authorized to serve but is not serving, if any, and the reason.

(f) Show the time of arrival and/or departure from all termini and scheduled stops.

(g) Show the periods in which specific provisions of the time schedule apply. For example, if a company services some routes only on certain days of the week, in certain seasons, or in certain months, that information must be clearly stated on the time schedule.

(h) At the bottom of the page, there must be a box that is at least three-fourths of an inch in height, spans from margin to margin and is labeled "for official use only."

Illustrations of sample time schedules:

| | | --- |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-346, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-351 Tariffs and time schedules, maps with tariffs.

An auto transportation company must file a map with its tariff that clearly identifies the company's entire certificated authority area. If an auto transportation company divides its authorized certificate area into service territories, areas, or zones the company must also file a map showing each of the tariff service territory divisions. The maps must meet the specifications in WAC 480-30-051.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-351, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-356 Tariffs and time schedules, tariff rules.

(1) Tariff rules must be stated in clear language and explicit terms, setting forth all standards and policies that will govern how the auto transportation company assesses rates to its customers.

(2) All provisions contained in an auto transportation company's tariff must be clearly labeled as to the type of service to which they apply. Example: Scheduled, door-to-door, by reservation only.

(3) Auto transportation company tariffs must contain rules addressing at least the following subjects:

(a) Children's fares. Rules must clearly indicate the ages for which children's fares apply.

(b) Baggage. Rules must state the amount of baggage that may be transported free of additional charge, baggage liability (see WAC 480-30-476), and overweight or excess baggage charges. Baggage rules must also state company policies regarding carry-on items such as skis and bicycles.

(i) Rules must state, "Subject to the exceptions of (d)(ii) and (iii) of this subsection unused tickets will be redeemed at the purchase price and unused portions of round-trip or commutation tickets will be redeemed by charging the regular fare or fares for the portion or portions used, and refunding the balance of the purchase price."

(ii) A company offering "door-to-door" service or "by reservation only" service may assess an administrative fee in those instances where a cost is incurred because the customer requested a change. If a company assesses an administrative fee, the tariff must include rules that clearly identify the fee and under what circumstances the fee will be assessed. Example of an administrative fee rule: A ten-dollar administrative fee will be assessed for customer requested changes made less than twenty-four hours in advance of the scheduled departure time. Administrative fees are deducted from ticket refunds.

(iii) A customer who has made a reservation but fails to cancel, reschedule, or appear at the designated pick-up point by the scheduled departure time is not eligible for a refund unless the failure was caused by an airline delay or cancellation.

(d) Long haul/short haul provisions. Rules must state that no customer will be required to pay more for transportation to an intermediate point along a route than is charged for a longer trip over that same route.

(e) Areas or zones to which rates apply. When fares to or from a named point include stops beyond the regular terminal, or where no regular terminal is maintained, the tariff must define the zone within which fares to and from a named point apply. For example: "Rates apply within five road miles of points named."

(f) Commuter fares, if offered by the company.

(g) Whether alternate means of transport will be provided by the company when it is unable to provide transportation at the time and place specified in the reservation that the company has accepted for that passenger.

(h) Holidays observed by the company.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-356, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-356, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-361 Tariffs and time schedules, changes.

Companies may change filed tariffs or time schedules by one of two methods:

(1) Issuing revised pages to the tariff or time schedule. A revised page must have the same page number as the page it cancels. For example: "1st revised page 1" cancels "Original page 1."

(2) Issuing a complete new tariff or time schedule. Each of the pages in a new tariff or time schedule must be identified as an original page. For example: "Original Title Page," "Original Page 1," "Original Page 2," and so on.

(3) Tariff and time schedule changes must be filed with the commission under the provisions of WAC 480-30-381.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-361, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-366 Tariffs and time schedules, supplements.

(1) Auto transportation companies may issue supplements to filed tariffs or time schedules to reflect short-term situations.

(2) Auto transportation companies may not issue tariff supplements to make general rate increases.

(3) Supplements are subject to all applicable rules and procedures including transmittal letters, notice to customers and the commission, and proper format.

(4) Supplements to a tariff or time schedule must be numbered consecutively. If a newly filed supplement cancels a previous supplement(s), that information must be clearly shown on the new supplement. For example: "Supplement 6 cancels Supplements 4 and 5."

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-366, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-371 Tariffs and time schedules, supplements or new filings required.

(1) Discontinuance of service. When the commission grants permission for an auto transportation company to discontinue service, the company must file supplements to cancel tariffs and time schedules on file with the commission. If permission is granted to discontinue service to only a portion of routes operated, the company must file supplements reflecting the discontinued routes or new tariffs and time schedules reflecting the routes that are not discontinued.

(2) Lease or sale of authority. An auto transportation company leasing or selling a portion of its certificated authority to another company must file supplements reflecting the transferred routes or new tariffs and time schedules reflecting the routes retained.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-371, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-376 Tariffs and time schedules, filings after name change or change in ownership.

(1) When an auto transportation company changes the name on its certificate, the company must file a tariff and time schedule in its new name or must adopt the existing filed tariff and time schedule.

(2) When an auto transportation company leases, transfers, or acquires a portion of the certificated authority of another company, it must file a new tariff and time schedule reflecting the same rates and routes as the prior company.

(3) When an auto transportation company obtains operating control of another company, it must file a new tariff and time schedule at the same rate levels and on the same time schedule as the prior company or adopt the existing filed tariff and time schedule of the prior company.

(4) An auto transportation company filing a tariff to comply with subsections (1), (2), and (3) of this section cannot raise rates in that filing. A separate rate increase filing must be made.

(5) To adopt existing filed tariffs or time schedules, the auto transportation company must file with the commission an adoption form.

(a) Adoption forms are available from the commission on request.

(b) Companies may use alternate forms as long as those forms are substantively equal to that shown in the example below.

| | | --- |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-376, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-381 Tariffs and time schedules, filing procedures.

(1) Method of filing. An auto transportation company may submit tariff and time schedule filings to the commission in person, electronically, by mail, or by fax. If an auto transportation company files by fax, the company must mail a hard copy on the same day as the fax transmission. Companies are encouraged to file their tariffs and time schedules electronically, according to the commission's policies and procedures.

(2) Transmittal letter. An auto transportation company must file a transmittal letter with each tariff or time schedule filing submitted to the commission.

(a) The transmittal letter must include at least the following:

(i) The name, certificate number, and trade names of the company;

(ii) A description of each proposed change in the tariff or time schedule and a brief statement of the reason for each change;

(iii) If the filing requires customer notice under the provisions of WAC 480-30-316, the transmittal may also include the information required by WAC 480-30-321; and

(iv) A contact person's name, mailing address, telephone number, fax number (if any), and email address (if any).

(b) Transmittal letters accompanying rate filings must also include the following:

(i) The percentage amount that rates will change if they become effective;

(ii) The amount revenue is expected to change if the proposed rates become effective.

(c) A company wanting confirmation that a hard copy tariff or time schedule filing was received must include two copies of the transmittal letter and a self-addressed, stamped envelope. The commission will stamp one copy of the letter and return it to the company as acknowledgement that the filing was received.

(3) Revised pages. Pages of the company's tariff affected by the tariff filing must include the appropriate reference marks indicating changes as provided in WAC 480-30-336.

(4) Additional documents required.

(a) Filing due to governmental, or other entity, action. If the filing results from action of another entity or governmental body, the company must file documentation of that action. For example: Notices of increased fees to use depots or stations.

(b) Tariff or time schedule filed by an agent. If the tariff or time schedule filing is made by a person other than an owner, partner, or corporate officer, the company must include with its filing a statement granting authority for that person to file on behalf of the company. The statement must be signed by an owner, partner, or corporate officer, and may be incorporated into the transmittal letter accompanying the filing.

(c) Rate increase filings. Rate increase filings must include work papers that support the requested increase. Work papers supporting a general rate increase as defined in WAC 480-30-421 must include the additional documentation described in WAC 480-30-426.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-381, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-386 Tariffs and time schedules, approval.

Receipt by the commission of a tariff or time schedule filing does not mean that the provisions of the filing are approved. Companies may not implement provisions contained in filings until the commission approves the filing or until the commission allows the filed provisions to become effective by operation of law.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-386, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-391 Tariffs and time schedules, ticket agent agreements must be filed and approved.

(1) An auto transportation company may enter into contracts or agreements with a second party for the sale of tickets or fares on behalf of the company, provided the form of such contracts or agreements has been previously approved by the commission.

(2) The contract or agreement form submitted to the commission for approval must contain, but is not limited to, the following:

(a) The name and certificate number of the auto transportation company;

(b) Spaces in which to record identifying information about the person entering into the contract or agreement with the company. This information must include at least the person's:

(i) Name;

(ii) Business address;

(iii) Business telephone number;

(iv) Business fax number;

(v) Business email address;

(c) Spaces in which will be recorded the date on which the contract or agreement becomes valid and the date on which the contract or agreement will expire;

(d) A clear description of the services that will be provided by the second party on behalf of the company;

(e) A statement of the percentage of revenue or the set dollar amount that the company will pay the second party for performing those services; and

(f) A statement as to how and when payment will be made to the company for tickets, less commission.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-391, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-396 Tariffs and time schedules, free and reduced rates.

(1) No auto transportation company will charge, demand, collect, or receive a greater, lesser, or different compensation for transportation of persons, than the rates that are contained in that company's effective tariff filed with the commission. Further, no auto transportation may extend to any person any privilege that is not uniformly extended to all persons under the same circumstances.

(2) An auto transportation company wishing to provide service at free or reduced rates must first publish those free or reduced rates in its filed tariff in accordance with RCW 81.28.080.

(3) If an auto transportation company chooses to provide service at free or reduced rates, the company must publish in its tariff:

(a) A detailed description of the customer class and criteria to qualify;

(b) The service provided;

(d) The applicable rate(s), amount of reduction (such as, twenty percent), or if free, "$0.00" or "no charge."

(4) The auto transportation company must record the number of passengers transported under each free or reduced rate published in its tariff in accordance with RCW 81.28.080.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-396, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-396, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-401 Tariffs and time schedules, substitute page filings.

(1) An auto transportation company may file substitute tariff or time schedule pages within a pending tariff filing if:

(a) There is no material change to the terms and conditions of service contained in the pending tariff page. This restriction does not apply to changes made to address commission concerns with the filing;

(b) The change does not increase the rates or fares contained in the pending tariff page; or

(2) The filing of substitute tariff pages must include a transmittal letter as set forth in WAC 480-30-381. The substitute filing must include the notation "Do Not Redocket."

(3) The commission may reject any substitute tariff or time schedule pages when rejection is in the public interest.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-401, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-406 Tariffs and time schedules, withdrawing a filing.

When withdrawing a tariff or time schedule filing, an auto transportation company must submit a letter that includes the following:

(1) The name and address of the auto transportation company;

(2) Docket number of the filing being withdrawn;

(3) The name of the company's contact person;

(4) An explanation of why the company is requesting the withdrawal; and

(5) A statement certifying that the submitting person has authority to withdraw the filing on behalf of the auto transportation company.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-406, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-411 Tariffs and time schedules, suspension by the commission.

(1) The commission may, on receiving a complaint or protest, or on its own motion, suspend tariff rates, tariff charges, tariff rules, or tariff time schedules as provided in RCW 81.04.130.

(2) The commission will not take action to suspend a tariff or time schedule, or any part of a tariff or time schedule, based on a complaint or protest unless the complaint or protest complies with the commission's rules of practice and procedure as set out in chapter 480-07 WAC.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-411, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-416 Tariffs, joint tariffs and through-ticketing arrangements.

(1) Auto transportation companies may file joint tariffs providing through-ticket arrangements. Such tariffs must list all companies participating in the tariff, must show all fares, rates and charges applicable between points on its line and all affected points on the line of the connecting carrier or carriers, and all rules that govern how those rates will be assessed to customers.

(2) Joint tariffs and amendments or supplements to joint tariffs must be issued and filed under the rules in Part 5 of this chapter.

(3) Companies must provide information to customers, at the time a ticket is purchased, or a reservation is made, as to the identities of all companies that will be providing transportation, the locations of any transfer points, and any policies that differ between the companies.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-416, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-420 Fare flexibility.

(1) It is in the public interest to provide flexibility to auto transportation companies to charge fares for service.

(2) For the purposes of this section, the following definitions apply:

(a) "Base fare" means the fares set forth in the company's tariff, except for tariff supplements, in effect on the date the company files a proposed tariff for flexible fares as a means to establish maximum fares.

(b) "Flexible fares" means the authority to charge, at the company's discretion, fares in any amount at or below the maximum fares.

(c) "Maximum fare" means a fare set initially at twenty-five percent above the company's base fare, as published in the company's effective tariff, except for tariff supplements. After a maximum fare has been published and become effective, the maximum fare will increase annually by five percent.

(3) A company may file a tariff with the commission to charge flexible fares. Because the filing authorizes the company to increase or decrease any fare at any time, singly or in any combination, the tariff must be filed on thirty days' notice to the commission under RCW 81.28.050. The tariff must show the base fares in effect on the date of the tariff filing and the maximum fares the company may charge. Once the commission approves a flexible fare tariff, the base fare used to establish the maximum fare does not operate as a minimum fare.

(4) A company's tariff filing to charge flexible fares under this section is not subject to a review under WAC 480-30-421 or 480-30-426.

(5) If a company seeks to charge fares above the maximum fare, the company must file tariff revisions in compliance with WAC 480-30-421 or 480-30-426 and all other filing requirements, including tariff publication rules and notice requirements.

(6) If a company seeks to offer free fares, the company must file tariff revisions, if not already contained in the tariff, in compliance with WAC 480-30-396 and all other filing requirements, including tariff publication rules and notice requirements.

(7) Any change in the fares charged by a company at or below the maximum fares is not considered a tariff change and is not subject to tariff filing rules, publication rules and notice requirements under this chapter. Companies may provide notice of changes in fares that the company will charge by posting their actual fares on the company's website, or notices or brochures provided to customers, subject to the requirements in subsections (8) and (14) of this section.

(8) If a company changes the fare it charges, at or below the maximum rate, it must honor the fares charged for tickets previously sold. However, the company may refund the amount paid for a ticket above the new fare.

(9) A tariff filing whose only purpose is to add a new service option or a service level which has not been previously included in the company's tariff must be filed on at least one business-day notice to the commission in compliance with WAC 480-30-301.

(10) A tariff filing that changes the fare design that results in an increase in the effective base fare must be filed on at least thirty calendar days' notice to the commission as required by WAC 480-30-311 and must comply with filing requirements in WAC 480-30-421 or 480-30-426, as well as tariff filing, publication and notice requirements under this chapter. A company may request an exemption from the tariff filing, publication or notice requirements. An example of a change in the fare design would be current fares published by zip code and proposed fares published by mileage.

(11) A company authorized to charge flexible fares must use the fares to recover all costs associated with providing passenger service, including, but not limited to, fuel costs, tolls, ferry fares, surcharges, and taxes. Any fuel surcharge in effect at the time the company is authorized to charge flexible fares will be canceled and not included in the base fare. A company may not impose any charge on any customer other than a single fare for passenger service provided. This would not affect the company assessing charges for accessorial services (e.g., baggage, cancellation fees, or refund transaction fees) published in the company's tariff at the time the commission approves a flexible fares tariff.

(12) Effective May 1, 2014, and each May 1st thereafter, a company's maximum fare will increase by five percent. Each company will implement the adjusted flexible fare by filing the appropriate tariff pages at least thirty days before the effective date of the change.

(13) If a company seeks to change the base fare upon which the commission has approved flexible fares, the proposed tariff filing will be subject to an earnings review or rate case under WAC 480-30-421 or 480-30-426, and all tariff publication rules and notice requirements.

(14) In providing notice to consumers or in its advertising, the company may not state that the commission approved or established a specific fare, but may state that the fare is set pursuant to a flexible fare tariff.

(15) An example of the maximum fare calculation follows:

| Year | Base Fare | Maximum Fare | Explanation | | --- | --- | --- | --- | | 0 | $41.00 | $41.00 | | | 1 | $41.00 | $51.25 | 25% above Base Fare | | 2 | $41.00 | $53.81 | 5% increase in Maximum Fare | | 3 | $41.00 | $56.50 | 5% increase in Maximum Fare | | 4 | $41.00 | $59.33 | 5% increase in Maximum Fare | | 5 | $41.00 | $62.29 | 5% increase in Maximum Fare | | 6 | $41.00 | $65.41 | 5% increase in Maximum Fare |

| Note: | Rounding: Fares are rounded to $.01. | | --- | --- | | | If the value of the number to the right of the rounding digit is less than five, the rounding digit is left unchanged. | | | If the value of the number to the right of the rounding digit is five or higher, the rounding digit is raised by one. |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.04.250, 81.68.030, and 81.68.040. WSR 13-18-003 (Docket TC-121328, General Order R-572), § 480-30-420, filed 8/21/13, effective 9/21/13.

Wash. Admin. Code § 480-30-421 Tariffs, general rate increase filings.

(1) A general rate increase filing is a tariff change that would:

(a) Increase the company's gross annual revenue from activities regulated by the commission by three percent or more.

(b) Restructure tariffs so that the gross revenue generated by any customer class would increase by three percent or more.

(2) The following tariff changes are not considered general rate increase filings even though the request may meet one or more criteria identified above:

(a) 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.

(b) Filings by existing auto transportation companies for the implementation of new transportation services.

(3) The commission may require that any filing to increase rates for any customer class, or to restructure rates, is subject to the additional requirements of WAC 480-30-426.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-421, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-426 Tariffs, general rate increase filings, work papers.

(1) General rate increase filings must include work papers supporting the proposed tariff changes based on a test year which is the most recent or appropriate consecutive twelve-month period for which financial data are available. Work papers must include, but are not limited to, the following:

(a) A detailed pro forma income statement by account including restating and pro forma adjustments, and all supporting calculations and documentation for each adjustment. See sample pro forma income statement below.

(i) Restating adjustments modify historic operating results to more properly reflect a "normal, representative" twelve-month test period and give recognition to those areas where the company's accounting methodology may differ from accepted regulatory practice. Restating adjustments fall into three categories:

(A) Reclassification - Reclassification moves dollars from one account to another with no effect on the final net income.

(B) Accounting adjustments - Accounting adjustments are necessary if the income statement does not properly apply basic accounting principles, such as an out-of-period expense posted in the test year, or to correct an error or oversight.

(C) Ratemaking - Ratemaking adjustments modify the records of the company to reflect proper ratemaking theory, such as removing expenses that were incurred by the company but are not generally allowed to be passed on to ratepayers, or converting from accelerated depreciation to straight line depreciation.

(ii) Pro forma adjustments give effect to all known and measurable changes in revenues and expenses not offset by other factors that have or will soon occur as if they had been in effect for the full twelve months of the test year. Examples include changes in tax rates, revenue impact of the tariff changes sought to be changed in the filing. Pro forma adjustments give effect to changes in expense or revenue levels, not the gallons of fuel used, passengers transported, or labor hours worked, etc.

(b) A total passenger count or representative sample of all tickets sold and fares charged during the test year, including all routes, zones, and types of service, and breakdowns between one-way and round trip fares, adults, children, commuters, etc. Revenues of the passenger count/tickets sold analysis must be reconciled to the revenues of the chosen test period. The passenger count/tickets sold analysis forms the basis of the revenue impact of the filing called for in WAC 480-30-381 (2)(b)(ii). See sample passenger count below.

(c) A current depreciation schedule separately listing all assets used by the company during the test period including the date the asset was placed into service, cost, salvage value, service life, and straight-line depreciation expense and accumulated depreciation at the beginning and at the end of the test period.

(d) A balance sheet as of the last day of the test period chosen.

(e) If nonregulated operations represent more than ten percent of total company test period revenue, then the starting point of the pro forma income statement must be total company operations, supplemented with a detailed separation of all total company revenues and expenses between regulated and nonregulated operations.

(f) Backup information concerning every transaction between the regulated company and any affiliated or subsidiary entity describing the services or transactions that occurred, the costs assessed and the basis of the charge, and the relationship to the regulated company.

Sample - Pro forma income statement

| | | --- |

Sample - Passenger count

| | | --- |

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-426, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-431 Tariffs, general rate increase filings and fuel cost update.

An auto transportation company filing a rate change based on changes in general operating expenses must update the test period fuel costs using actual fuel costs for the most recent twelve-month period.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-431, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-436 Tariffs, special or promotional fare tariff filings.

(1) The commission encourages auto transportation companies to explore innovative rates and rate structures including special or promotional fares intended to:

(a) Retain or increase the number of passengers using the company's services;

(b) Provide the public with flexible transportation options; and

(2) When an auto transportation company files a special or promotional fare, the filing must at a minimum include the following:

(a) A statement supporting the use of the proposed special or promotional fare; and

(b) Information detailing the potential effect on revenue of the proposed special or promotional fare, as well as the effect on revenue of the current fare.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-436, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-441 Charter and excursion carriers not subject to provisions of Part 8.

The consumer rules apply only to auto transportation companies. Charter and excursion carriers are not subject to the provisions of Part 8 of this chapter.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-441, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-446 Availability of information.

(1) Company information. A company that provides auto transportation company service must have a:

(a) Toll-free or local business telephone number for customers located within the company's authorized service area; and

(b) Mailing address.

(2) Messaging. A company must have voice mail, an answering machine, or answering service to receive calls when company personnel are unavailable.

(3) Responding to customer inquiries.

(a) A company must respond to all nonwritten messages within twenty-four hours excluding weekends and holidays, as defined in the company's tariff.

(b) A company must acknowledge and respond to a customer's written inquiry within two weeks of receipt.

(4) Information that must be available. A company must make the following items available to customers for inspection upon request at no charge during the company's regular business hours:

(a) The commission's passenger transportation company rules in chapter 480-30 WAC;

(b) The company's current tariff and time schedule;

(d) Any current, proposed, or most recently canceled tariff page that relates to the customer's service.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-446, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-450 Nondiscrimination.

Passenger transportation companies must comply with the American with Disabilities Act (ADA), comparable Washington statutes, and federal and state rules promulgated pursuant to those statutes including, but not limited to, requirements for nondiscrimination, service animals, employee training, standards for accessible vehicles, and equivalent service standards as referenced in C.F.R. 49 Part 37, C.F.R. 28 Part 35.136, and chapter 49.60 RCW.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-450, filed 7/31/17, effective 8/31/17.

Wash. Admin. Code § 480-30-451 Refusal of service.

(1) A company may refuse service to a person when:

(a) In the company's judgment, providing the service would be hazardous, unsafe, or dangerous to persons or property;

(b) In the company's judgment, driveways or roads are improperly constructed or maintained, do not have adequate turn arounds, or have other unsafe conditions;

(d) The customer refuses to allow company personnel, drivers, agents, or representatives access to baggage or other materials prior to it being loaded in or on the vehicle;

(e) The customer appears to be under the influence of drugs or alcohol; or

(f) The customer attempts to bring onboard the vehicle materials that would be detrimental to the safety or comfort of other passengers.

(2) A company may refuse service to a person under other conditions that would be detrimental to the safety and comfort of passengers when those conditions are contained in the company's filed tariff and time schedule.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-451, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-456 Fair use of customer information.

(1) Customer information includes the customer's name, address, and telephone number.

(2) Companies must use customer information only for:

(a) Providing and billing for services the customer requests, either directly or through a contractor;

(b) Marketing new services or options to its customers; or

(3) Any sale or release of customer information without the written permission of the customer is prohibited. The only exceptions to this rule are:

(a) Release of information to the commission to investigate or resolve complaints filed with the commission by a customer;

(b) Sharing nonpayment information with agencies the company engages to act as the company's agent in pursuing collection of past due accounts.

(4) Companies are allowed to collect and release customer information in aggregate form if the aggregated information does not allow any specific customer to be identified.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.68,030 [81.68.030], and 81.70.270. WSR 17-16-114 (Docket TC-161262, General Order R-590), § 480-30-456, filed 7/31/17, effective 8/31/17. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-456, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-461 Service or rate complaints.

(1) Company responsibility.

(a) Complaints from customer. When a company receives a service or rate complaint from a customer it must:

(i) Acknowledge the complaint within twenty-four hours;

(ii) Investigate promptly;

(iii) Report the results of the investigation to the complainant;

(iv) Take corrective action, if warranted, as soon as appropriate under the circumstances;

(v) Inform the complainant that the decision may be appealed to a higher level representative of the company, if any;

(vi) Advise that if the complainant is still dissatisfied after speaking with the higher level representative, the commission is available to review the complaint; and

(vii) Provide the complainant with the commission's address and toll-free telephone number.

(b) Complaint referred by commission. When commission staff refers an informal complaint to the company, the company must:

(i) Investigate and report the results to commission staff within two business days (commission staff may grant an extension of time for responding to the complaint if requested and warranted);

(ii) Keep commission staff informed of progress toward the resolution on a weekly basis; and

(iii) Inform the commission staff of the final result.

(c) Complaint record. A company must keep a record of all complaints for at least three years. The record of complaints must be readily available for commission review. The record must contain:

(i) The complainant's name and address;

(ii) Date and nature of the complaint;

(iii) Action taken;

(iv) The final result; and

(v) All official documents regarding the complaint.

(2) Complaints to commission. Customers may file with the commission either:

(a) An informal complaint against the company under the provisions of WAC 480-07-910; or

(b) A formal complaint against the company under the provisions of WAC 480-07-370.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-461, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-466 Credits or refunds as compensation in consumer complaints or problems.

Companies may offer customers a credit or refund as compensation for service quality problems, billing problems, or other problems experienced by the customer.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-466, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-471 Ticketing requirements.

(1) An auto transportation company must provide its customers with tickets, receipts, or other alternate informational documents that include, but are not limited to, the following information:

(a) The name of the company;

(b) The service, trip, or route on which the ticket applies;

(d) Information about the company's policy for refunds;

(e) A list of items that are prohibited from being brought onboard the vehicle or being packed in checked baggage;

(f) Notice that baggage may be inspected and the consequences of failing to allow access to baggage for such inspection;

(g) Information related to baggage liability, the ability to declare higher value, and the charges for such declaration;

(h) The company's toll-free or local business telephone number.

(2) An auto transportation company that maintains an internet website accessible to the public using generally available browser software may offer tickets or receipts to its customers on request and satisfy the additional information requirements of this rule by:

(a) Posting the required information to its internet website;

(b) Directing customers to its website; and

(c) Providing customers with a description of how to contact the company if they have specific questions or need additional information.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-471, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-476 Baggage liability and claims for loss or damage.

(1) Baggage liability. An auto transportation company must include provisions in its filed tariff relating to its liability for loss or damage to baggage checked by the passenger.

(a) The minimum amount of liability must be:

(i) At least two hundred fifty dollars per adult fare; and

(ii) At least one hundred dollars per child's fare.

(b) The company's tariff must also contain provisions allowing passengers to declare a value in excess of two hundred fifty dollars, by paying an additional charge, and must allow the passenger to recover the increased amount. The passenger's declared amount may not exceed the actual value of the baggage and its contents.

(c) Company tariff provisions may limit the maximum value for which the company will be liable. This maximum value may not be less than one thousand dollars per bag or item checked.

(d) Companies do not have to offer excess value coverage on articles of extraordinary value including, but not limited to:

(i) Negotiable instruments;

(ii) Papers;

(iii) Money;

(iv) Manuscripts;

(v) Irreplaceable publications;

(vi) Documents;

(vii) Jewelry and watches.

(2) Delivery of checked baggage. The company must make all checked baggage available to the passenger within a reasonable time of arrival at destination. If not, the company will deliver the baggage to the passenger's local address at the company's expense.

(3) Claims. Auto transportation companies must make claim forms available to their passengers upon request at each of the company's offices, passenger facilities, and from the driver of each vehicle operated. The forms must be prepared in duplicate. The company will retain one copy. The second copy will be given to the passenger filing the claim.

(a) Checked baggage that the company cannot locate within one hour of arrival at destination will be designated as lost. The company must notify the passenger at that time and furnish the passenger with a claim form.

(b) The company must give a claim form to any passenger declaring lost or damaged baggage.

(c) The company must resolve claims for baggage loss or damage within sixty days of receipt with a firm offer of settlement or with a written explanation of denial of the claim.

(4) Loss or damage to carry-on items. The company shall not be held responsible for loss or damage to baggage carried onboard the vehicle unless it can be shown that the company was in some way negligent. Each company shall have a written policy detailing the manner in which items, articles, or baggage left onboard a company's vehicles will be handled and the way in which the company will make efforts to return the articles to their rightful owners.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-476, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-900 Interstate operations.

(1) General requirements: No passenger transportation company may operate any motor vehicle or combination of motor vehicles over the public highways of this state in interstate commerce unless the company has:

(a) Obtained the appropriate operating authority from the Federal Motor Carrier Safety Administration (FMCSA) if operating as a registered carrier;

(b) Obtained valid insurance as required by FMCSA; and

(c) Registered with the commission and paid fees as required by the Unified Carrier Registration (UCR) program or any successor program as required by the laws and rules of FMCSA.

(2) Applicable laws and rules:

(a) When conducting interstate operations, registered carriers and the motor vehicles they operate must comply with the laws and rules that apply to interstate operations.

(b) When conducting Washington intrastate operations, registered carriers and the motor vehicles they operate must comply with the laws and rules that apply to intrastate operations.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-30-900, filed 2/11/13, effective 3/14/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-900, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-910 Interstate carrier fees.

A carrier operating under interstate authority issued by the Federal Motor Carrier Safety Administration (FMCSA) or its successor agency must register with the commission and pay fees as required by the Unified Carrier Registration (UCR) program or any successor program as required by the laws and rules of FMCSA.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-30-910, filed 2/11/13, effective 3/14/13. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-910, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-930 Registration fee and receipts.

(1) Registration fee. The annual registration fee for registered and registered exempt interstate passenger transportation companies operating vehicles over the public highways of Washington state is:

(a) $10 For each motor vehicle operated by a passenger transportation company providing interstate charter or excursion service.

(b) $0 For each motor vehicle operated by a passenger transportation company providing interstate regular route service.

(2) Registration receipts.

(a) A legible receipt showing registration with a base state or the commission as a registered or registered exempt carrier must be present in each motor vehicle and the receipt is subject to inspection at all times by law enforcement agents and commission representatives. No person or firm may use a registration receipt issued by the commission other than the registered or registered exempt carrier to whom it was issued.

(b) All receipts issued for a calendar year expire on December 31 of that year.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-930, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-940 Insurance requirements for interstate operations.

Registered and registered exempt carriers conducting interstate operations must provide evidence of insurance in the amount required by the USDOT or its successor agency written by a company authorized to write insurance in any state.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-940, filed 6/8/06, effective 7/9/06.

Wash. Admin. Code § 480-30-999 Adoption by reference.

WAC 480-30-999

(1) North American Standard Out-of-Service Criteria (OOSC) is published by the Commercial Vehicle Safety Alliance (CVSA).

(a) The commission adopts the version in effect on April 1, 2026.

(b) This publication is referenced in WAC 480-30-221 (Vehicle and driver safety requirements).

(2) Title 49 Code of Federal Regulations, cited as 49 C.F.R., including all appendices and amendments is published by the United States Government Printing Office.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-30-221 (Vehicle and driver safety requirements) and WAC 480-30-226 (Intrastate medical waivers).

(c) Copies of Title 49 Code of Federal Regulations are available from the U.S. Government Online Bookstore, https://bookstore.gpo.gov/, and from various third-party vendors.

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 26-14-045, s 480-14-999, filed 6/25/26, effective 7/26/26. Statutory Authority: RCW 80.10.040, 80.04.160, 81.04.160, and 34.05.353. WSR 25-15-030, s 480-30-999, filed 7/8/25, effective 8/8/25. Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-30-999, filed 6/18/24, effective 7/19/24
WSR 23-13-003, § 480-30-999, filed 6/7/23, effective 7/8/23
WSR 22-15-104, § 480-30-999, filed 7/19/22, effective 8/19/22
WSR 21-13-130, § 480-30-999, filed 6/22/21, effective 7/23/21
WSR 19-14-118, § 480-30-999, filed 7/3/19, effective 8/3/19
WSR 18-13-106, § 480-30-999, filed 6/19/18, effective 7/20/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 17-15-054 (Docket A-170015, General Order R-589), § 480-30-999, filed 7/13/17, effective 8/13/17
WSR 16-05-035 (Docket A-151884, General Order R-585), § 480-30-999, filed 2/9/16, effective 3/11/16
WSR 15-06-048 (Docket A-143302, General Order R-579), § 480-30-999, filed 3/2/15, effective 4/2/15
WSR 14-05-001 (Docket A-131761, General Order R-574), § 480-30-999, filed 2/5/14, effective 3/8/14
WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-30-999, filed 2/11/13, effective 3/14/13
WSR 12-05-063 (Docket A-111722, General Order R-564), § 480-30-999, filed 2/15/12, effective 3/17/12
WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-30-999, filed 1/25/11, effective 2/25/11
WSR 09-01-171 (Docket A-081419, General Order R-554), § 480-30-999, filed 12/23/08, effective 1/23/09. Statutory Authority: RCW 80.01.040, 81.04.160, 81.12.050, 81.68.030, and 81.70.270. WSR 06-13-006 (General Order No. R-533, Docket No. TC-020497), § 480-30-999, filed 6/8/06, effective 7/9/06. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-21-022 (Docket No. A-050271, General Order No. R-521), § 480-30-999, filed 10/10/05, effective 11/10/05
WSR 04-01-152 (General Order No. R-511, Docket No. A-030852), § 480-30-999, filed 12/22/03, effective 1/22/04
WSR 02-18-033 (Docket No. A-020379, General Order No. R-501), § 480-30-999, filed 8/26/02, effective 9/26/02. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-30-999, filed 9/28/01, effective 10/29/01.

Chapter 480-31 Private, nonprofit transportation providers.

Wash. Admin. Code § 480-31-010 Purpose.

The purpose of this section is to ensure that private, nonprofit transportation providers, who primarily operate by using revenues received from governmental grants and/or charitable organizations, do so in a manner that is safe and reasonable for persons with special transportation needs.

History

Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-010, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-020 Application of rules.

These rules will apply to any private, nonprofit transportation provider so defined by the laws of the state of Washington, engaged in the business of providing transportation subject to the jurisdiction of this commission for persons with special transportation needs.

Cases of erroneous or doubtful interpretation of these rules by a provider or any other person or corporation are subject to appeal to the commission by any interested and proper party affected.

Upon proper showing of any provider, the commission may waive or modify, as to that provider, the provisions of any rule herein, except when such provisions are fixed by statute. No deviation from these rules will be permitted without written authorization by the commission. Violations will be subject to the penalty provisions of chapter 81.04 RCW.

The adoption of these rules will in no way preclude the commission from altering or amending the same, in whole or in part, or from requiring any other or additional service, equipment or standard, not otherwise herein provided for either upon complaint or upon its own motion, or upon the application of any party, and further, these rules will in no way relieve any provider from any of its duties under the laws of the state of Washington.

Whenever the designation "director, office of motor carrier safety," "director, regional motor carrier safety office," "regional highway administrator," and "federal highway administration" are used in the respective parts of Title 49, Code of Federal Regulations, as described in this section, such designations for the purpose of this rule will mean the "Washington utilities and transportation commission."

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-020, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-020, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-030 Definitions.

Unless the language or context indicates that a different meaning is intended, the following words, terms, and phrases will, for the purpose of this chapter, mean the following:

(1) State - The state of Washington.

(2) Commission - The Washington utilities and transportation commission.

(3) Certificate - A grant of authority issued by the commission to a private, nonprofit transportation provider for the transportation of persons with special transportation needs as provided in chapter 81.66 RCW.

(4) Corporation - A corporation, company, association, or joint stock association.

(5) Public highway - Every street, road or highway in this state.

(6) Motor vehicle - Every self-propelled vehicle with seating capacity of seven or more persons, including the driver.

(7) Commercial motor vehicle - A motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle is designed to transport sixteen or more passengers, including the driver.

(8) Person - An individual, firm, or copartnership.

(9) Private, nonprofit transportation provider - A private, nonprofit corporation providing transportation services for compensation to persons with special transportation needs.

(10) Provider - Private, nonprofit transportation provider.

(11) Persons with special transportation needs - Those persons, including their personal attendants, who because of physical or mental disability, income status, or age are unable to transport themselves or to purchase appropriate transportation.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-030, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-030, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-040 Licenses, and rules and regulations.

No provider may operate a motor vehicle upon the public highways of this state until the owner of the vehicle or person lawfully responsible for the vehicle has complied with the laws of this state pertaining to licenses, obtained a certificate from the commission, and complied with all rules and regulations of the commission governing the operation of private, nonprofit transportation providers.

History

Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-040, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-050 Certificates.

(1) The commission will issue a certificate to any corporation which files a completed application, as provided by the commission, which provides:

(a) Satisfactory proof of its status as a private, nonprofit corporation;

(b) Information sufficient to determine the particular service to be provided;

(d) The number and type of vehicles to be operated, together with satisfactory proof that the vehicles are adequate for the proposed service, that the vehicles are or will be licensed in compliance with the laws of the state, and that drivers of such vehicles will be adequately trained and qualified.

(2) Applications for certificates must be on forms to be furnished by the commission, giving all information requested and accompanied by a fifty dollar application fee.

(3) Remittances will be made by money order, bank draft, personal check or certified check, made payable to the Washington utilities and transportation commission.

(4) No provider may operate, establish, or begin operation of any business for the purpose of transporting persons with special transportation needs on the public highways of this state, without first having obtained from the commission a certificate.

(5) No certificate will be issued to persons operating under a trade name, unless a certificate of said trade name is filed in accordance with the provisions of RCW 19.80.010, and a copy thereof filed with the commission.

(6) Each vehicle operated by a provider must carry a copy of the company's certificate, and will be subject at all times to inspection by an authorized representative of the commission.

(7) No certificate will be sold, assigned, leased, acquired, or transferred except upon authorization of the commission.

History

Statutory Authority: RCW 80.01.040(4), 81.04.160. WSR 06-07-100 (Docket No. T-051359, General Order No. R-529), § 480-31-050, filed 3/15/06, effective 4/15/06. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-050, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-050, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-052 Suspending and canceling certificates.

(1) Cause for suspension. The commission may suspend a certificate for cause. Cause includes, but is not limited to:

(a) Failure to maintain evidence of required liability insurance coverage for all areas of a private, nonprofit transportation provider's operations;

(b) Failure to file an annual report or pay required regulatory fees;

(d) Allowing others to operate under a provider's certificated authority without having first obtained commission approval;

(e) Operating in a manner that violates the rights of customers and/or constitutes an unfair or deceptive business practice; or

(f) Repeated failure or refusal to comply with laws and rules pertaining to operations of private, nonprofit transportation providers.

(2) Cause for cancellation. The commission may cancel a certificate for cause. Cause includes, but is not limited to:

(a) Operating without proper insurance;

(b) Failure to file an annual report or pay required fees;

(c) Failure to correct within the time specified in a suspension order all conditions listed in the suspension order that led to the certificate's suspension;

(d) Continued violations of laws and rules affecting the public health, safety, or welfare when the commission has reason to believe the private, nonprofit transportation provider will not comply with those laws and rules following a specified period of suspension;

(e) Failure to supply requested information needed by the commission in the performance of its regulatory functions; or

(f) Submission of false, misleading or inaccurate information.

(3) Notice of pending suspension and cancellation. When the commission believes cause exists to suspend or cancel a certificate, it will issue a notice to the private, nonprofit transportation provider of the commission's intention to suspend or cancel the authority.

(4) Contest of suspension and cancellation. A private, nonprofit transportation provider may contest the pending suspension and/or cancellation of its certificate by requesting a hearing or brief adjudicative proceeding within ten days following the date of the notice.

History

Statutory Authority: RCW 80.01.040(4), 81.04.160. WSR 06-07-100 (Docket No. T-051359, General Order No. R-529), § 480-31-052, filed 3/15/06, effective 4/15/06.

Wash. Admin. Code § 480-31-054 Certificates, reinstatement.

(1) The commission may reinstate a certificate canceled for cause under the provisions of WAC 480-31-052 (Suspending and canceling certificates) if the private, nonprofit transportation provider:

(a) Corrects all conditions leading to the cancellation;

(b) Provides a written statement explaining the circumstances surrounding the cancellation and commits that it is unlikely to recur; and

(2) The commission may reinstate a certificate suspended under the provisions of WAC 480-31-052 (Suspending and canceling certificates) if the provider satisfies the terms of the suspension and all conditions leading to the suspension are corrected.

History

Statutory Authority: RCW 80.01.040(4), 81.04.160. WSR 06-07-100 (Docket No. T-051359, General Order No. R-529), § 480-31-054, filed 3/15/06, effective 4/15/06.

Wash. Admin. Code § 480-31-070 Insurance.

(1) Evidence of liability and property damage insurance or a surety bond must be on file before a certificate will be issued to a private, nonprofit transportation provider. The insurance or surety bond must have been written by a company authorized to write such insurance in the state of Washington or by an unauthorized insurer providing surplus lines coverage subject to the provisions of RCW 48.15.040. The combined bodily injury and property damage liability insurance or surety bond must not be less than:

Five hundred thousand dollars combined single limit for vehicles with a passenger capacity of less than 16 passengers, including the driver;

One million dollars combined single limit for vehicles with a passenger capacity of 16 or more passengers, including the driver.

(2) A provider's insurance agency or company must submit evidence of insurance on a "uniform motor carrier bodily injury and property damage liability certificate of insurance" (form E).

(3) All liability and property damage insurance policies issued to providers must carry a "uniform motor carrier bodily injury and property damage liability endorsement."

(4) Insurance termination. All insurance policies issued must provide that the same will continue in full force and effect until canceled by at least 30 days' written notice served on the insured and the commission by the insurance company. The 30-day notice will commence to run from the date notice is actually received by the commission, except for binders which may be canceled on 10 days' written notice.

A provider's insurance agency or company must submit notice of cancellation or expiration in duplicate on forms prescribed by the commission and must not submit the notice more than 60 days before the desired termination date, except binders which may be canceled by 10 days' written notice from the insurance agency or company.

(5) No provider may operate on the public highways of this state without insurance as required by this section.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-31-070, filed 7/13/23, effective 8/13/23. Statutory Authority: RCW 80.01.040(4), 81.04.160. WSR 06-07-100 (Docket No. T-051359, General Order No. R-529), § 480-31-070, filed 3/15/06, effective 4/15/06. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-070, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-080 Fees and annual report.

(1) A private, nonprofit transportation provider must pay to the commission an annual fee for each vehicle operated. The fee is established by commission order. The provider must pay the annual fee with the filing of the annual report.

(2) At the close of each calendar year, every provider must secure from the commission the proper forms and file with the commission its annual report as soon as possible after the close of the calendar year, but no later than May 1st of the succeeding year.

History

Statutory Authority: RCW 80.01.040, 80.04.160, and 81.66.030. WSR 08-21-027 (Docket TN-080875, General Order R-552), § 480-31-080, filed 10/7/08, effective 11/7/08. Statutory Authority: RCW 80.01.040(4), 81.04.160. WSR 06-07-100 (Docket No. T-051359, General Order No. R-529), § 480-31-080, filed 3/15/06, effective 4/15/06. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-080, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-090 Passenger complaints and disputes.

Any complaint or dispute involving a passenger and a provider for which the commission has jurisdiction must be treated in the following manner:

(1) Each complaint or dispute received by a provider from a passenger must be investigated promptly as required by the particular case, and the results reported to the passenger. When the circumstances indicate the need for corrective action, such action must be taken as soon as possible.

(2) Each provider must ensure that personnel engaged in initial contact with a dissatisfied or complaining passenger will inform the passenger that if dissatisfied with the decision or explanation provided, the passenger has the right to have the problem considered and acted upon by supervisory personnel. The passenger must be provided with the name or department of such supervisory personnel and a telephone number by which they can be reached.

(3) Each provider must ensure that supervisory personnel contacted by a dissatisfied passenger will inform a still-dissatisfied passenger of the availability of the commission for further review of any complaint or dispute. The telephone number and address of the commission must also be provided.

(4) All parties to a dispute between a passenger and the provider have the right to bring before the commission an informal complaint pursuant to the provisions of WAC 480-07-910 and/or a formal complaint pursuant to the provisions of WAC 480-07-370.

(5) When a complaint is referred to a provider by the commission, the provider must, within two business days, report the results of any investigation made regarding the complaint to the commission and must keep the commission currently informed as to progress made with respect to the solution of, and final disposition of, the complaint. If warranted in a particular case, the provider may request an extension of time.

(6) Records - each provider must keep a record of all complaints concerning its service or rates. The record must show at least the name and address of the complainant, the nature and date of the complaint, action taken, and the final disposition of the complaint. Such records must be maintained in a suitable place readily available for commission review and will be provided to the commission upon request.

All written complaints made to a provider must be acknowledged within five business days. Correspondence and records of complaints must be retained by the provider for a minimum period of one year.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-31-090, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-090, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-100 Equipment—Safety.

In addition to other laws and regulations of this state, all providers must comply with the rules and regulations governing motor carrier safety prescribed by the United States Department of Transportation in Title 49, Code of Federal Regulations, as follows:

(1) Part 379, Preservation of Records;

(2) Part 380, Special Training Requirements;

(3) Part 392, Driving of Motor Vehicles;

(4) Part 393, Parts and Accessories Necessary for Safe Operation;

(5) Part 396, Inspection, Repair and Maintenance;

(6) Part 397, Transportation of Hazardous Materials; Driving and Parking rules;

(7) Part 390, Safety Regulations, General; except the terms "motor vehicle" and "private vehicle" are not adopted. Instead, where those terms are used in Title 49 C.F.R., they have the meanings assigned to "motor vehicle" in WAC 480-31-030. In addition, the term "commercial motor vehicle," where used in Title 49 C.F.R. has the meaning assigned to "commercial motor vehicle" in WAC 480-31-030.

The commission adopts by reference the provisions of federal rules in effect on the date specified in WAC 480-31-999.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-31-100, filed 1/25/11, effective 2/25/11. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-100, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 34.05.310, 34.05.356, 80.01.040, 80.04.160 and 80.04.160 [81.04.160]. WSR 99-20-013 (Order R-465, Docket No. A-980247), § 480-31-100, filed 9/24/99, effective 10/25/99. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-100, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-110 Identification of motor vehicle equipment.

Providers must display identification markings on the driver and passenger side of the vehicles.

The markings must include the name of the provider as registered with the commission and the certificate number. Provided however, providers holding both intrastate and interstate authority may display either the U.S. Department of Transportation certificate number, commission certificate number, or both.

The markings must be clearly legible, with letters no less than three inches high, in a color that contrasts with the surrounding body panel. Leased vehicles may display either permanent markings or placards on the driver and passenger sides of the vehicle.

Vehicles operated by or under lease must display the name and permit number of either the business operating the vehicle or the registered owner. The markings may be permanent or placards on the driver and passenger sides of the vehicle.

When identification of the provider would create an embarrassment to the persons with special transportation needs, the name of the provider may be omitted when authorized by letter from the secretary of the commission.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-31-110, filed 1/25/11, effective 2/25/11. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-110, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-120 Equipment—Inspection—Ordered for repairs.

(1) All motor vehicles operated by providers must be maintained in a safe and sanitary condition. They must at all times be subject to inspection by the commission and its duly authorized representatives who will have power to order out-of-service any vehicle failing to meet the standards set forth in this section, or if not being operated in compliance with state laws in regard to equipment or method.

(2) Every provider must ensure that all its vehicles are regularly inspected, repaired and maintained, as required by the United States Department of Transportation in Title 49, Code of Federal Regulations, part 396 (Inspection, Repair and Maintenance) in effect on the date specified in WAC 480-31-999.

(3) All vehicle parts and accessories must be in safe and proper working condition at all times.

(4) Equipment standards. The purpose of this subsection is to identify critical vehicle inspection items and provide criteria for placing a vehicle(s) in an out-of-service category. The criteria for out-of-service condition are those defined in the current North American Uniform Out-Of-Service Criteria.

Out-of-service condition. When any motor vehicle(s) is in out-of-service condition, no provider will require nor will any person operate such motor vehicle until all required repairs have been satisfactorily completed. The commission adopts by reference the "North American Uniform Out-of-Service Criteria" published by the Commercial Vehicle Safety Alliance in effect on the date specified in WAC 480-31-999.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-120, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 34.05.310, 34.05.356, 80.01.040, 80.04.160 and 80.04.160 [81.04.160]. WSR 99-20-013 (Order R-465, Docket No. A-980247), § 480-31-120, filed 9/24/99, effective 10/25/99. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-120, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-130 Operation of motor vehicles.

(1) All motor vehicles must be operated in accordance with the requirements of existing state laws and no driver or operator will operate the same in any other than a careful and prudent manner, nor at any greater speed than is reasonable or proper, having due regard to the traffic and use of the highways by others, or so as to endanger the life and limb of any person.

(2) Qualification of drivers. The rules and regulations governing qualifications of drivers prescribed by the United States Department of Transportation in Title 49, Code of Federal Regulations, part 391 (Qualifications of Drivers) in effect on the date specified in WAC 480-31-999, are adopted and prescribed by the commission to be observed by all providers. Vehicles meeting the definition of a commercial motor vehicle must also comply with part 382 (Controlled Substances and Alcohol Use and Testing), and part 383 (Commercial Driver's License Standards; Requirements and Penalties).

(3) The rules and regulations relating to drivers' logs and drivers' hours of service adopted by the United States Department of Transportation in Title 49, Code of Federal Regulations, part 395 (Hours of Service of Drivers) in effect on the date specified in WAC 480-31-999, are adopted and prescribed by the commission.

(4) The rules and regulation relating to workplace drug and alcohol testing programs adopted by the United States Department of Transportation in Title 49, Code of Federal Regulations, Part 40 (Procedures for Transportation Workplace Drug and Alcohol Testing Programs) in effect on the date specified in WAC 480-31-999, are adopted and prescribed by the commission.

(5) The rules and regulation relating to general safety fitness procedures adopted by the United States Department of Transportation in Title 49, Code of Federal Regulations, Part 385 (Safety Fitness Procedures) in effect on the date specified in WAC 480-31-999, are adopted and prescribed by the commission.

(6) The rules and regulation relating to general safety fitness procedures adopted by the United States Department of Transportation in Title 49, Code of Federal Regulations, Part 380 (Special Training Requirements) in effect on the date specified in WAC 480-31-999, are adopted and prescribed by the commission.

(7) No driver or operator of a motor vehicle carrying passengers may smoke any cigar, cigarette, tobacco or other substance in such vehicle while driving the vehicle.

(8) No driver or operator of any motor vehicle will permit smoking on said vehicle by passengers or other persons.

Suitable signs, of sufficient size and number to adequately inform passengers, must be placed in buses to inform passengers that smoking is not permitted in the motor vehicle.

(9) No driver or operator of a motor vehicle will create any disturbance or unnecessary noise to attract persons to the vehicle.

(10) The driver or operator of any motor vehicle may refuse to carry any person who is in an intoxicated condition or conducting themselves in an unreasonably boisterous or disorderly manner or is using profane language, or whose condition is such as to be obnoxious to other passengers. A driver is responsible for the comfort and safety of passengers and should be constantly on the alert for and immediately correct any act of misconduct on the part of occupants of the vehicle.

(11) The commission adopts by reference the provisions of federal rules cited in this section in effect on the date specified in WAC 480-31-999.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-31-130, filed 1/25/11, effective 2/25/11. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-130, filed 9/28/01, effective 10/29/01. Statutory Authority: RCW 34.05.310, 34.05.356, 80.01.040, 80.04.160 and 80.04.160 [81.04.160]. WSR 99-20-013 (Order R-465, Docket No. A-980247), § 480-31-130, filed 9/24/99, effective 10/25/99. Statutory Authority: RCW 80.01.040 and chapter 80.01 RCW. WSR 97-08-037 (Order R-440, Docket No. TC 961102), § 480-31-130, filed 3/27/97, effective 4/27/97.

Wash. Admin. Code § 480-31-150 Intrastate medical waivers.

(1) Department of licensing intrastate medical waiver. A private, nonprofit transportation provider may use a driver that is not physically qualified to drive a commercial motor vehicle under Title 49 C.F.R. Part 391.41, if the driver:

(a) Only operates commercial motor vehicles intrastate, wholly within the state of Washington; and

(b) Has obtained from the Washington state department of licensing an intrastate medical waiver to drive a commercial motor vehicle.

For the purposes of a department of licensing medical waiver, a commercial motor vehicle means a motor vehicle:

(i) With a gross vehicle weight rating of 26,001 pounds or more;

(ii) Transporting 16 or more passengers, including the driver; or

(iii) With a manufacturer's seating capacity of 16 or more passengers, including the driver.

(2) Doctor's statement of intrastate medical waiver. A private, nonprofit transportation provider may use a driver that is not physically qualified to drive a motor vehicle under Title 49 C.F.R. Part 391.41 or WAC 480-31-130, as applicable, if the driver:

(a) Holds a valid Washington state driver's license;

(b) Has received a doctor's statement that:

(i) The driver's medical condition is not likely to interfere with the driver's ability to safely operate a motor vehicle; and

(ii) The driver's condition is likely to remain stable for the two years or other specified date, but not more than the two years that the medical certificate is valid.

(c) Operates motor vehicles intrastate wholly within the state of Washington. For the purposes of a doctor's statement of intrastate medical waiver, a motor vehicle means a motor vehicle:

(i) With a gross vehicle weight rating under 26,001 pounds;

(ii) Transporting 15 or fewer passengers, including the driver; or

(iii) With a manufacturer's seating capacity of 15 or fewer passengers, including the driver.

(3) Driver qualification files. A private, nonprofit transportation provider that uses a driver under an intrastate medical waiver must maintain in the driver's qualification file a physical or digital copy of the doctor's statement of intrastate medical waiver.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.80.290, and 81.77.030. WSR 23-15-054 (Docket T-220252, General Order R-607), § 480-31-150, filed 7/13/23, effective 8/13/23.

Wash. Admin. Code § 480-31-999 Adoption by reference.

WAC 480-31-999

(1) North American Standard Out-of-Service Criteria (OOSC) is published by the Commercial Vehicle Safety Alliance (CVSA).

(a) The commission adopts the version in effect on April 1, 2026.

(b) This publication is referenced in WAC 480-31-120 (Equipment—Inspection—Ordered for repairs).

(2) Title 49 Code of Federal Regulations, cited as 49 C.F.R., including all appendices and amendments is published by the United States Government Printing Office.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-31-100 (Equipment—Safety), WAC 480-31-120 (Equipment—Inspection—Ordered for repairs), and WAC 480-31-130 (Operation of motor vehicles).

(c) Copies of Title 49 Code of Federal Regulations are available from the U.S. Government Online Bookstore, https://bookstore.gpo.gov/, and from various third-party vendors.

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 26-14-045, s 480-14-999, filed 6/25/26, effective 7/26/26. Statutory Authority: RCW 80.10.040, 80.04.160, 81.04.160, and 34.05.353. WSR 25-15-030, s 480-31-999, filed 7/8/25, effective 8/8/25. Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-31-999, filed 6/18/24, effective 7/19/24
WSR 23-13-003, § 480-31-999, filed 6/7/23, effective 7/8/23
WSR 22-15-104, § 480-31-999, filed 7/19/22, effective 8/19/22
WSR 21-13-130, § 480-31-999, filed 6/22/21, effective 7/23/21
WSR 19-14-118, § 480-31-999, filed 7/3/19, effective 8/3/19
WSR 18-13-106, § 480-31-999, filed 6/19/18, effective 7/20/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 17-15-054 (Docket A-170015, General Order R-589), § 480-31-999, filed 7/13/17, effective 8/13/17
WSR 16-05-035 (Docket A-151884, General Order R-585), § 480-31-999, filed 2/9/16, effective 3/11/16
WSR 15-06-048 (Docket A-143302, General Order R-579), § 480-31-999, filed 3/2/15, effective 4/2/15
WSR 14-05-001 (Docket A-131761, General Order R-574), § 480-31-999, filed 2/5/14, effective 3/8/14
WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-31-999, filed 2/11/13, effective 3/14/13
WSR 12-05-063 (Docket A-111722, General Order R-564), § 480-31-999, filed 2/15/12, effective 3/17/12
WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-31-999, filed 1/25/11, effective 2/25/11
WSR 09-01-171 (Docket A-081419, General Order R-554), § 480-31-999, filed 12/23/08, effective 1/23/09. Statutory Authority: RCW 81.04.160 and 34.05.353. WSR 06-11-013 (Docket T-051915, General Order No. R-532), § 480-31-999, filed 5/4/06, effective 6/4/06. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-21-022, § 480-31-999, filed 10/10/05, effective 11/10/05
WSR 04-01-152 (General Order No. R-511, Docket No. A-030852), § 480-31-999, filed 12/22/03, effective 1/22/04
WSR 02-18-033 (Docket No. A-020379, General Order No. R-501), § 480-31-999, filed 8/26/02, effective 9/26/02. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.310. WSR 01-20-061 (Docket No. A-010827, General Order No. R-491), § 480-31-999, filed 9/28/01, effective 10/29/01.

Chapter 480-51 Commercial ferries.

Wash. Admin. Code § 480-51-010 General.

(1) Commercial ferries shall comply with the terms of this chapter in addition to rules prescribed by the commission for public service companies in general.

(2) This chapter is subject to such exceptions as the commission may consider just and reasonable in individual cases.

(3) Application for exception to any of the rules of this chapter shall be made in accordance with the following:

(a) Application must be directed to the commission at its Olympia headquarters office;

(b) The application must be legibly presented on 8-1/2 inch by 11 inch paper, on one side of each sheet only;

(c) The applicant must identify the rule to which exception is sought and give a full explanation of the reasons for requesting the exception.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-010, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-020 Definitions.

For the purposes of these rules, the following definitions shall apply:

(1) The term "commercial ferry" means every corporation, company, association, joint stock association, partnership and person, their lessees, trustees or receivers, appointed by any court whatever, owning, controlling, leasing, operating or managing any vessel over and upon the waters of this state.

(2) The term "certificated commercial ferry" means a person required by chapter 81.84 RCW to obtain a certificate of public convenience and necessity before operating any vessel upon the waters of this state.

(3) The term "common carrier ferry vessel" means a vessel primarily engaged in transporting freight other than vehicles, whose gross earnings from the transportation of passengers and/or vehicles are not more than ten percent of the total gross annual earnings of such vessel.

(4) The term "vessel" includes every species of watercraft, by whatever power operated, for public use in the conveyance of persons or property for hire over and upon the waters within this state, excepting all towboats, tugs, scows, barges, and lighters, and excepting rowboats and sailing boats under twenty gross tons burden, open steam launches of five tons gross and under, and vessels under five tons gross propelled by gas, fluid, naphtha, or electric motors.

(5) The term "transportation of property" includes any service in connection with the receiving, delivery, elevation, transfer in transit, ventilation, refrigeration, icing, storage and handling of the property transported, and the transmission of credit.

(6) The term "transportation of persons" includes any service in connection with the receiving, carriage and delivery of the person transported and that passenger's baggage and all facilities used, or necessary to be used in connection with the safety, comfort and convenience of the person transported.

(7) The term "for hire" means transportation offered to the general public for compensation.

(8) The term "transfer" means sale, assignment, mortgage, lease or any other voluntary or involuntary conveyance of an interest in a certificate by the entity owning a certificate.

(9) The term "launch service" means transportation of passengers and/or freight to or from a vessel under way, at anchor or at a dock.

(10) The term "person" means any natural person or persons or any entity legally capable of taking any action.

(11) The term "published schedule" means a time schedule that is published by the certificate holder and filed with the commission in accordance with the provisions of WAC 480-51-090.

(12) For the purposes of these rules, where the terms "United States Coast Guard" and/or "Coast Guard" are used, the term "Washington state department of labor and industries, marine division" shall be substituted if the commercial ferry boat operates on Washington state waterways not subject to Coast Guard regulation or if the vessel itself is subject to department of labor and industries, marine division, rules and regulations rather than those of the United States Coast Guard.

(13) The term "excursion service" means the carriage or conveyance of persons for compensation over the waters of this state from a point of origin and returning to the point of origin with an intermediate stop or stops at which passengers leave the vessel and reboard before the vessel returns to its point of origin.

(14) The term "charter service" means the hiring of a vessel, with captain and crew, by a person or group for carriage or conveyance of persons or property.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-020, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-022 Exempt vessels and operations.

The rules of this chapter do not apply to the following vessels or operations:

(1) Charter services;

(2) Passenger-carrying vessels that depart and return to the point of origin without stopping at another location within the state where passengers leave the vessel;

(3) Vessels operated by not-for-profit or governmental entities that are replicas of historical vessels or that are recognized by the United States Department of the Interior as national historical landmarks;

(4) Excursion services that:

(a) Originate and primarily operate at least six months per year in San Juan County waters and use vessels less than sixty-five feet in length with a United States Coast Guard certificate that limits them to forty-nine passengers or less;

(b) Do not depart from the point of origin on a regular published schedule;

(c) Do not operate between the same point of origin and the same intermediate stop more than four times in any month or more than fifteen times during any twelve-month period;

(d) Use vessels that do not return to the point of origin on the day of departure; or

(e) Operate vessels upon the waters of the Pend Oreille River, Pend Oreille County, Washington.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-022, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-025 General operation.

(1) Commercial ferries must comply with all pertinent federal and state laws, chapter 81.84 RCW, and the rules of this commission.

(2) No certificated commercial ferry shall provide service subject to the regulation of this commission without first having obtained from the commission a certificate declaring that public convenience and necessity require, or will require, that service.

(3) No company may operate any vessel providing excursion service subject to the regulation of this commission over the waters of this state without first having obtained a certificate of public convenience and necessity as provided in RCW 81.84.010.

(4) Any operator holding unrestricted commercial ferry authority may provide excursion service on an existing route without the need to obtain additional authority. The commission may restrict grants of commercial ferry authority to operations in excursion service.

(5) Any certificate of public convenience and necessity obtained by any false affidavit, statement or misrepresentation shall be subject to revocation and cancellation by this commission.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-025, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-030 Applications.

(1) Any person desiring to operate a commercial ferry which is required by the provisions of chapter 81.84 RCW to be certificated, to acquire a controlling interest in, or to acquire by transfer any certificate, shall file with the Washington utilities and transportation commission an application for a certificate of public convenience and necessity on a form furnished by the commission. Applications shall include, but are not limited to the following:

(a) Pro forma financial statement of operations;

(b) Ridership and revenue forecasts;

(d) An estimate of the cost of the assets to be used in providing service;

(e) A statement of the total assets on hand of the applicant that will be expended on the proposed operation; and

(f) A statement of prior experience, if any, in providing commercial ferry service.

(2) Certificate holders wishing to issue stocks and stock certificates, or other evidences of interest or ownership, and bonds, notes, and other evidences of indebtedness and to create liens on their property in this state shall comply with chapter 81.08 RCW, as amended, and with all pertinent commission rules.

(3) Application fees:

| Original application for certificate . . . .$200.00 | | --- | | Application for extension of certificate . . . .200.00 | | Application to transfer a certificate . . . .200.00 | | Application for issuance of a duplicate certificate . . . .3.00 | | Application for temporary certificate . . . .200.00 |

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-030, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-040 Notice of application—Protests—Contemporaneous applications.

(1) The commission shall send a notice of each application for certificated commercial ferry service and each application to operate vessels providing excursion service, with a description of the terms of that application, to all persons presently certificated to provide service; all present applicants for certificates to provide service; the department of transportation; affected cities and counties; and any other person who has requested, in writing, to receive such notices. Interested persons may file a protest with the commission within thirty days after service of the notice. The protest shall state the specific grounds for opposing the application and contain a concise statement of the interest of the protestant in the proceeding. A person who is eligible to file a protest and fails to do so may not participate further in the proceeding in any way, unless it can be demonstrated that failure to file a protest was due to an omission by the commission in providing proper notification of the pending application.

(2) If any person wishes to seek authority which overlaps, in whole or in part, with that sought in any pending application, it must apply for that authority within thirty days following mailing of the notice of filing of the initial application in order for the applications to be considered jointly. During the thirty-day period, pending applications will be on file and available for inspection in the commission's headquarters office in Olympia.

(3) The commission may consolidate overlapping pending applications, pursuant to WAC 480-07-320, for joint consideration.

(4) Overlapping applications which are not filed within thirty days of the initial application will not be jointly considered with the initial application and will not be decided until after the conclusion of proceedings resolving the initial application and any other application qualifying for joint consideration.

(5) The commission may consider and decide, on any schedule, portions of an overlapping application when:

(a) The portions to be heard do not overlap a prior pending application; and

(b) The overlapping portions may appropriately be severed from the portions to be heard.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-51-040, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-040, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-050 Waiver of ten-mile restriction.

(1) Application. An application to provide service otherwise forbidden by the ten-mile restriction in RCW 47.60.120 shall include a request for waiver of that restriction.

(2) Notice—Protests. The commission shall send a notice of each application for waiver of the ten-mile restriction pursuant to WAC 480-51-030. Interested persons shall have twenty days from the date of mailing of the notice in which to file a protest with the commission stating opposition to the waiver petition and application. Protests should set forth specifically the grounds upon which they are made and contain a concise statement of the interest of the protestant in the proceeding.

(3) Standards. In determining whether to grant or deny a waiver, the commission shall consider, but is not limited to, the impact of the waiver on:

(a) Transportation congestion mitigation;

(b) Air quality improvement; and

(4) Resolution—Hearing. The commission shall act upon a request for a waiver of the ten-mile restriction within ninety days after the conclusion of the hearing. The commission may in its discretion separate the request for a waiver of the ten-mile restriction from other issues in the application when necessary to comply with the statutory ninety-day deadline.

(5) Effective period of waiver.

(a) A waiver granted to an applicant or certificate holder under RCW 47.60.010(3) shall be effective for a period of five years from the date of grant of the waiver.

(b) Pursuant to RCW 47.60.010(3), the waiver shall automatically become permanent unless appealed to the commission, or unless reviewed by the commission upon its own motion, no later than thirty days after the fifth anniversary of the effective date of the waiver as set forth in (a) of this subsection. The commission will issue no notice of the expiration date of the five-year period. The burden of proof to show that the waiver should not become permanent shall be upon the party who files the appeal or upon the commission, if the review is on the commission's own motion. Persons who may appeal include the department of transportation, affected cities and counties, and any interested party. An interested party, for the purposes of this rule, means any party to the proceeding in which the application was granted, any person certificated to provide service possessing overlapping authority, and any applicant for overlapping authority.

(c) Upon receipt of an appeal of a waiver and the holder's answer, if any, the commission shall set the matter for adjudication. The commission may, in its discretion, on the request of a party, or on its own motion, order a brief adjudicative proceeding on the appeal. WAC 480-07-610 governs applications for and procedures in brief adjudicative proceedings.

(6) Certificates containing waiver. Certificates granted in conjunction with the grant of a waiver shall include the following proviso:

"Pursuant to RCW 47.60.010(3), the waiver of the ten-mile restriction granted in this certificate is effective until (DATE). This waiver shall become permanent if not appealed within thirty days after this date."

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-51-050, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-050, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-060 Temporary certificates.

(1) The commission may issue temporary certificates for authority to provide service for a period not to exceed one hundred eighty days.

(2) The commission shall not issue a temporary certificate to operate on a route for which a certificate has been issued or for which an application is pending.

(3) The commission shall only issue temporary certificates upon finding that the issuance is due to an urgent and immediate need and is otherwise consistent with the public interest. In determining whether to grant the requested temporary certificate, the commission will consider evidence of the following factors:

(a) An immediate and urgent need for the requested service;

(b) Any available service capable of meeting the need;

(d) Any other circumstance indicating that a grant of temporary authority is consistent with the public interest.

(4) An application for a temporary certificate shall be completed legibly on a form furnished by the commission, giving all information requested and accompanied by:

(a) The application fee;

(b) A copy of a certificate or letter from the United States Coast Guard certifying that any vessel to be used under that temporary certificate has been inspected by the United States Coast Guard and is safe and seaworthy for the intended operation;

(d) Statements from potential customers, riders, shippers or interested parties demonstrating that there is an immediate and urgent need for the requested service.

(5) The commission shall send a notice of each temporary certificate granted, with a description of the temporary certificate's terms, to all persons presently certificated to provide service; all present applicants for certificates to provide service; the department of transportation; affected cities and counties; and any other person who has requested, in writing, to receive such notices. Interested persons may file a protest with the commission within twenty days after service of the notice. The protest shall state the specific grounds for opposing the application and contain a statement of the interest of the protestant in the proceeding.

(6) The commission may grant or deny the protest without hearing. The commission may, in its discretion, on the application of a party, or on its own motion, order a brief adjudicative proceeding on the protest. WAC 480-07-610 governs applications for and procedures in brief adjudicative proceedings.

(7) The commission may impose special terms and conditions in connection with the grant of any temporary certificate.

(8) If the holder of temporary authority files a valid application for parallel permanent certificated authority within thirty days after the grant of temporary authority, that temporary authority shall continue in force until the commission grants or denies the application for the permanent certificate authority, or until the temporary certificate is otherwise cancelled pursuant to law, whichever occurs first.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-51-060, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-060, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-070 Insurance.

(1) Liability and property damage insurance or surety bond.

(a) Prior to the commission issuing a certificate, and prior to the commission issuing a registration to a common carrier ferry operating passenger-carrying vessels, each applicant shall file with the commission evidence of currently effective liability and property damage insurance or a surety bond, the form of which is set out below, written by a company authorized to write such insurance or bond in the state of Washington, covering each vessel to be used under the certificate or registration granted. Coverage shall be for not less than the following amounts:

| | $100,000 | for any recovery for personal injury by one person, and | | --- | --- | --- | | | $1,000,000 | for all persons receiving personal injury and property damage by reason of one act of negligence, and | | | $50,000 | for damage to property of any person other than the insured, or | | | $1,000,000 | combined bodily injury and property damage liability insurance. |

(b) Evidence of insurance shall be submitted on either a certificate of insurance, filed in triplicate with the commission, or a written binder issued by an insurance agent or insurance company evidencing the coverage as required above. If a binder is submitted, it shall be effective for not longer than sixty days, during which time the operator must file the required certificate of insurance.

| "Know all persons by these presents: | | --- | | That we of the City of , State of Washington, as principal, and , a corporation organized and existing under and by virtue of the Laws of the State of Washington under the laws thereof, as surety, are held and firmly bound unto the State of Washington, in the just and full sum or lawful money of the United States of America, upon each and every vessel operated by the principal herein in the amounts as set out in the schedule above for the payment of which well and truly to be made, do hereby bind ourselves, or heirs, executors, administrators, successors and assigns, severally by these presents. | | Signed, sealed and dated this day of 19 . | | This bond is written in pursuance of and is to be construed in accordance with chapter 81.84 RCW, and the rules and regulations of the Washington Utilities and Transportation Commission, adopted thereunder; is to be filed with the State for the benefit of persons who sustain damage or injury from the negligent operations of any and all vessels operated by the company (principal herein) under and by virtue of its certificate or registration granted by the Washington Utilities and Transportation Commission, and Tariffs and Time Schedules filed thereunder. |

| | | | SCHEDULE | | --- | --- | --- | --- | | | $100,000 | for any recovery for personal injury by one person and | | | | $1,000,000 | for all persons receiving personal injury and property damage by reason of one act of negligence, and | | | | $50,000 | for damage to property of any person other than the insured, or | | | | $1,000,000 | combined bodily injury and property damage liability. | |

| Now, therefore, the condition of this obligation is such that if the said principal in accordance with the provision of chapter 81.84 RCW, shall pay all damages for personal injuries which may be sustained by any person or any damage to property of any person other than the assured, by reason of any act of negligence on the part of the said principal, its agents or employees in the operation of vessels in transporting persons and property for compensation, under its Certificate of Public Convenience and Necessity or registration issued by the Washington Utilities and Transportation Commission, and Tariffs and Time Schedules filed thereunder, then this obligation to be void, otherwise to remain in full force and effect. | | --- | | This bond may be cancelled by the surety at any time by filing written notice with the Washington Utilities and Transportation Commission stating when the cancellation shall be effective, but in no case shall such cancellation notice be effective until thirty (30) days after the receipt of such notice by the Washington Utilities and Transportation Commission. |

| | | | --- | --- | | Principal | | | | | | Surety" | |

(2) Insurance, continuance of. Proper evidence of continued insurance or surety bond shall be filed with the commission not less than ten days prior to the termination date of coverage then on file so there is no question of continuous coverage as required by law.

(3) Insurance termination.

(a) All insurance policies issued under the requirements of chapter 81.84 RCW shall provide that the coverage shall continue in full force and effect unless and until cancelled by at least thirty days' written notice served on the insured and the Washington utilities and transportation commission by the insurance company. The thirty days' notice period runs from the date the notice is actually received by the commission. Exception: Binders may be cancelled on ten days' written notice.

(b) Notice of cancellation or expiration shall be submitted in duplicate and shall not be submitted more than sixty days before the intended termination date, except that binders may be cancelled by written notification from the insurance agency or insurance company on ten days' written notice.

(4) Involuntary suspension—Cancellation.

(a) Involuntary suspension. No certificate holder and no registered passenger-carrying common carrier may operate in this state without the required insurance. Any certificate holder or registered passenger-carrying common carrier who fails to maintain evidence that its insurance is in current force and effect shall have its certificate or registration suspended by operation of law beginning with the time of the failure.

(i) A person whose certificate or registration is suspended may secure reinstatement of the same by correcting conditions leading to suspension.

(ii) A certificate or registration holder may contest suspension by requesting a brief adjudication or an adjudication.

(iii) The suspension shall last until the cause of the suspension is cured and the certificate or registration is reinstated or until the certificate or registration is cancelled.

(b) Cancellation.

(i) The commission may cancel a certificate or registration for failure to demonstrate that the holder has corrected the conditions leading to suspension with the time defined in the order of suspension.

(ii) The commission will hold a hearing prior to canceling a certificate or registration, except when cancellation results from failure to correct causes of a suspension in which an adjudicative or brief adjudication was held or was available to the certificate or registration holder.

(5) All persons holding certificates on the effective date of this rule shall, within sixty days of the effective date, file evidence of proper insurance with the commission.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-070, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-075 Safety.

(1) No commercial ferry shall operate any vessel that has not been inspected by the United States Coast Guard and certified to be safe and seaworthy for its intended operation.

(2) Each commercial ferry shall maintain in its main office a copy of the most current certificate issued for each vessel operated.

(3) The commission may periodically require commercial ferry operators to provide proof that each vessel operated has been inspected and found to be safe and seaworthy. Such proof may be contained on the annual report form required by WAC 480-51-100.

(4) No commercial ferry shall augment its fleet with a vessel leased, borrowed, or obtained from another party unless the commercial ferry operator first obtains proof that the vessel has been inspected within the past twelve months and found to be safe and seaworthy for its intended purpose. A copy of the inspection certificate must be maintained in the commercial ferry operator's files for a period of not less than twelve months following use of such vessel.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-075, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-077 Operators of common carrier ferry vessels—Registration—Regulations.

(1) No person shall operate a common carrier ferry vessel without first having registered with the commission and filing a tariff in accordance with the provisions of WAC 480-51-080. Registration to be made on forms supplied by the commission. Operators of passenger-carrying common carrier ferry vessels must provide evidence of insurance as required by WAC 480-51-070.

(2) Any person who operates a common carrier ferry vessel shall be required to submit annual reports and regulatory fees in accordance with the provisions of WAC 480-51-100.

(3) Operators of common carrier ferry vessels shall maintain accounts in accordance with the provisions of WAC 480-51-110.

(4) Any person operating a common carrier ferry vessel on the date this rule is adopted must file a registration application within sixty days of the effective date of the rule.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-077, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-080 Tariffs.

(1) All commercial ferries shall file with the commission tariffs containing fair, just and reasonable rates governing the transportation services to be provided.

(a) Pursuant to Article 12, section 12 of the Washington Constitution and RCW 81.28.180 and 81.28.190, rates contained in commercial ferry tariffs must be nondiscriminatory and nonpreferential.

(b) Tariffs may provide for variations within a band of rates, and may provide for exceptions and conditions in defined circumstances.

(2) Operators of commercial ferries shall prepare, publish, file and reissue their tariffs in accordance with the provisions of the commission's Tariff Circular No. 6.

(3) Tariffs must be issued in the registered name of the operator and must show its certificate or registration number.

(4) Tariffs must contain a title page which identifies the name of the company; its business name, if any; its business address; its business telephone number; and the name, address and business telephone number of the issuing agent.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-080, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-090 Time schedules.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-090, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-100 Annual reports—Regulatory fees.

(1) Each person operating a commercial ferry shall after the close of each year file with the commission reports covering its operations during the preceding calendar year containing the information required by the commission. The annual report must be prepared on forms furnished by the commission and must be filed, along with the regulatory fee, not later than May 1st of each year.

(2) The commercial ferry regulatory fee is set by statute at two-fifths of one percent of gross intrastate operating revenue.

(a) The maximum regulatory fee is assessed each year, unless the commission issues an order establishing the regulatory fee at an amount less than the statutory maximum.

(b) The minimum regulatory fee that a commercial ferry must pay is twenty dollars.

(c) The twenty dollar minimum regulatory fee is waived for any commercial ferry with less than five thousand dollars in gross intrastate operating revenue.

(d) The commission does not grant extensions for payment of regulatory fees.

(e) If a company does not pay its regulatory fee by May 1, the commission will assess an automatic late fee of two percent of the amount due, plus one percent interest for each month the fee remains unpaid.

(f) The commission may take action to suspend or cancel a certificate, if a company fails to pay its regulatory fee.

(3) When a certificate is transferred or cancelled or for any reason a certificate holder ceases its operation under a certificate, an annual report must be filed with the commission within fifteen days after the certificate operator ceases operation and must cover the period from the first day of the year to the date operations ceased.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 2003 c 296. WSR 04-05-031 (Docket No. A-031232, General Order No. R-512), § 480-51-100, filed 2/11/04, effective 3/13/04. Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-100, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-110 Accounts.

(1) The accounts and records of certificate holders shall be kept in accordance with the commission's "uniform classification of accounts and statistics for water transportation companies" including all current supplements, amendments, revisions and reissuances.

(2) The accounts, records and statistics of certificate holders must be kept reasonably up-to-date to disclose at all times the information and data required to be kept.

(3) Operators of common carrier ferry vessels shall maintain accounts, books and records sufficient to allow calculation of the gross revenue earned in providing passenger and vehicle water transportation services and sufficient to complete annual reports as required in WAC 480-51-100.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-110, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-120 Failure to initiate service—Extensions of time to initiate service—Progress reports.

(1) Progress reports.

(a) If a certificate holder has not initiated service to all or any portion of the route or routes granted in its certificate, the certificate holder must, during the first five years after obtaining the certificate, and during each twelve-month extension period granted by the commission, file written progress reports with the commission every six months after the certificate is granted.

(b) For purposes of these rules the following definitions shall apply:

(i) The term "portion of a route or routes" means service to any named point or points along a route, and service between two or more points named in a certificated commercial ferry certificate; and

(ii) The term "initiating service" means providing regular, ongoing service to all points and between all points granted in a certificated commercial ferry certificate.

(c) Progress reports must include a statement of progress toward overcoming impediments to initiating service, including, but not limited to, the following information: The progress of environmental impact, parking, local government land use, docking, and financial considerations, the purchase or lease of a vessel or vessels, hiring of employees, advertising, and the ability to handle proposed traffic.

(2) Extensions of time to initiate service.

(a) If a certificate holder has not initiated all or any portion of the route or routes granted in its certificate during the first five years after obtaining the certificate, the certificate holder may petition the commission to extend the certificate on a twelve-month basis for up to three years.

(b) If a certificate holder obtained its certificate prior to July 25, 1993, and is not providing service on all or any portion of the route or routes granted in its certificate during the first five years after obtaining its certificate, and has not initiated service during the three-year extension period discussed above in (a) of this subsection, the certificate holder may petition the commission to extend its certificate on a twelve-month basis for up to an additional two years.

(c) The term "providing service" means operating to all points and between all points granted in a certificate by the commission. In determining whether a certificated commercial ferry which operates in on-call service, such as launch service or service to flag stops, is providing service, the commission shall consider whether the certificated commercial ferry is ready, willing, and able to provide the service when requested, and makes a reasonable effort to obtain traffic.

(d) For purposes of these rules, the term "not providing service on all or any portion of the route or routes" does not include:

(i) Service discontinued by grant of the commission under WAC 480-51-130; or

(ii) Temporary interruptions of regular service reported promptly to the commission in accordance with WAC 480-51-140.

(e) In determining whether to grant an extension of time in which to initiate service, the commission will consider whether:

(i) The certificate holder has submitted timely progress reports during the first five years after obtaining the certificate and during any extension period; and

(ii) The progress reports indicate significant advancement toward initiating service.

(3) Failure to initiate service. Certificates, or portions thereof, are subject to cancellation, alteration or amendment by the commission under the provisions of RCW 81.84.060(1) if:

(a) A certificate holder has not initiated all or a portion of the route or routes granted in its certificate during the first five years after obtaining its certificate, and has not submitted timely progress reports to the commission as required in RCW 81.84.010(2);

(b) The commission has denied a certificate holder's request for an extension of time to initiate service and the certificate holder has not initiated service within thirty days of the denial; or

(c) A certificate holder has not initiated all or a portion of the route or routes granted before the expiration of any extensions of time to initiate service, and the certificate holder has not timely filed for an additional extension.

(4) Petitions for extension of time to initiate service.

(a) A certificate holder must file a petition with the commission seeking an extension of time to initiate service no later than ninety days prior to:

(i) The date upon which the five-year period following the grant of the certificate expires; or

(ii) The date upon which the current twelve-month extension period expires.

(b) Petitions for extension of time to initiate service shall be legibly prepared on forms to be furnished by the commission, giving all information requested.

(c) The commission may grant or deny petitions for extension without hearing. The grant or denial of extensions will be issued by letter of the secretary of the commission. A certificate holder aggrieved by the denial of an extension petition may seek review of the denial by filing a request for review of the decision within twenty days after service of the letter notifying the certificate holder of the denial. Within thirty days after receipt of the request for review, the commission shall schedule an adjudicative proceeding, and provide at least twenty days notice of the proceeding to the certificate holder requesting review. The commission may, in its own discretion, on the request of the aggrieved certificate holder, or on its own motion, order a brief adjudicative proceeding on the petition. WAC 480-07-610 governs applications for and procedures in brief adjudicative proceedings.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-51-120, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-120, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-130 Indefinite discontinuance of service.

No certificate holder shall discontinue the service authorized under its certificate and set forth in its filed time schedule without first having given to the commission and to the public, at least fifteen days' notice, in writing, of its intention to discontinue such service, and without having secured the commission's permission. The commission shall not grant permission for discontinuance of service for periods exceeding twelve months.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-130, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-140 Temporary interruptions of service—Suspension of service.

(1) Certificate holders shall report promptly in writing to the commission, and to the public along the route, all interruptions of regular service, where such interruptions are likely to continue for more than twenty-four hours. Said report to include a full statement of the cause of such interruption and its probable duration.

(2) Discontinuance or suspension of service by a certificate holder for a period of five consecutive days without notice to the commission shall be deemed a forfeiture of all right secured under and by virtue of any order or permission to operate, issued by the commission: Provided, however, That the commission may permit the resumption of operation after such five-day discontinuance or suspension, on proper showing that the certificate holder was not responsible for the failure to give service or notice.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-140, filed 10/18/95, effective 11/18/95.

Wash. Admin. Code § 480-51-150 Certificates, involuntary cancellation, revocation, suspension, alteration or amendment by the commission.

(1) Upon complaint by an interested party, or upon its own motion after notice and opportunity for hearing, the commission may cancel, revoke, suspend, alter, or amend a certificate issued under this chapter for any of the following grounds:

(a) Violation of an order, decision, rule, regulation, or requirement established by the commission or the requirements of law;

(b) Failure of the certificate holder to initiate service by the conclusion of the fifth year after the certificate has been granted or by the conclusion of an extension granted under RCW 81.84.010 (2) or (3), if the commission has considered the progress report information required under RCW 81.84.010 (2) or (3);

(d) Filing by the certificate holder of an annual report that shows no revenue in the previous twelve-month period after service has been initiated;

(e) Violation of any provision of this chapter;

(f) Violation of or failure to observe the provisions or conditions of the certificate, tariffs or filed time schedule;

(g) Failure of the certificate holder to maintain the required insurance coverage in full force and effect; or

(h) Failure or refusal to furnish reasonable and adequate service after initiating service.

(2) The commission shall institute an investigation upon receipt of a complaint by an interested party to determine whether the complaint has merit.

(3) Within thirty days of a finding that a complaint filed by an interested party has merit and that the certificate holder is in violation, or upon its own finding that the certificate holder is in violation, as described in subsection (1)(a) through (h) of this section, the commission shall take appropriate action to cancel, revoke, suspend, alter or amend the certificate. The commission shall notify the certificate holder of the action to be taken, and shall at the same time offer the certificate holder an opportunity for hearing through an adjudication or brief adjudication.

History

Statutory Authority: RCW 81.84.070, 1993 c 427, 1995 c 361 and RCW 80.01.040(4). WSR 95-22-001 (Order R-435, Docket No. TS-941485), § 480-51-150, filed 10/18/95, effective 11/18/95.

Chapter 480-54 Attachment to transmission facilities.

Wash. Admin. Code § 480-54-010 Purpose, interpretation, and application.

(1) This chapter implements chapter 80.54 RCW "Attachment to Transmission Facilities."

(2) The commission will consider Federal Communications Commission orders promulgating and interpreting its pole attachment rules and federal court decisions reviewing those rules and interpretations as persuasive authority in construing the provisions in this chapter.

(3) The rules in this chapter apply to all owners, occupants, and requesters as defined in this chapter without regard to whether those entities are otherwise subject to commission jurisdiction.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 15-21-090 (Docket U-140621, General Order R-582), § 480-54-010, filed 10/21/15, effective 1/1/16.

Wash. Admin. Code § 480-54-020 Definitions.

"Attachment" means any wire, cable, or antenna for the transmission of intelligence by telecommunications or television, including cable television, light waves, or other phenomena, or for the transmission of electricity for light, heat, or power, and any related device, apparatus, or auxiliary equipment, installed upon any pole or in any telecommunications, electrical, cable television, or communications right of way, duct, conduit, manhole or handhole, or other similar facilities owned or controlled, in whole or in part, by one or more owners, where the installation has been made with the consent of the one or more owners consistent with the rules in this chapter.

"Attachment agreement" means an agreement negotiated in good faith between an owner and a utility or licensee establishing the rates, terms, and conditions for attachments to the owner's facilities.

"Carrying charge" means the costs the owner incurs to own and maintain poles, ducts, or conduits without regard to attachments. Those costs are comprised of the owner's administrative, maintenance, and depreciation expenses, commission-authorized rate of return on investment, and applicable taxes. When used to calculate an attachment rate, the carrying charge may be expressed as a percentage of the net pole, duct, or conduit investment.

"Communications space" means the usable space on a pole below the communications workers safety zone and above the vertical space for meeting ground clearance requirements under the National Electrical Safety Code.

"Conduit" means a structure containing one or more ducts, usually placed in the ground, in which cables or wires may be installed.

"Duct" means a single enclosed raceway for conductors, cable, or wire.

"Facility" means a pole, duct, conduit, manhole or handhole, right of way, or similar structure on or in which attachments can be made. "Facilities" refers to more than one facility.

"Inner duct" means a duct-like raceway smaller than a duct that is inserted into a duct so that the duct may carry multiple wires or cables.

"Licensee" means any person, firm, corporation, partnership, company, association, joint stock association, or cooperatively organized association, other than a utility, that is authorized to construct attachments upon, along, under, or across the public ways.

"Make-ready work" means engineering or construction activities necessary to make a pole, duct, conduit, right of way, or other support equipment available for a new attachment, attachment modifications, or additional attachments. Such work may include rearrangement of existing attachments, installation of additional support for the utility pole, or creation of additional capacity, up to and including replacement of an existing pole with a taller pole.

"Net cost of a bare pole" means (a) the original investment in poles, including purchase price of poles and fixtures and excluding cross-arms and appurtenances, less depreciation reserve and deferred federal income taxes associated with the pole investment, divided by (b) the number of poles represented in the investment amount. When an owner owns poles jointly with another utility, the number of poles for purposes of calculating the net cost of a bare pole is the number of solely owned poles plus the product of the number of the jointly owned poles multiplied by the owner's ownership percentage in those poles. In the unusual situation in which net pole investment is zero or negative, the owner may use gross figures with appropriate net adjustments.

"Occupant" means any utility or licensee with an attachment to an owner's facility that the owner has granted the utility or licensee the right to maintain.

"Occupied space" means that portion of the facility used for attachment that is rendered unusable for any other attachment, which is presumed to be one foot on a pole and one half of a duct in a duct or conduit.

"Overlashing" means the tying of additional communications wires or cables to existing communications wires or cables attached to poles.

"Owner" means the utility that owns or controls the facilities to or in which an occupant maintains, or a requester seeks to make, attachments.

"Pole" means an above-ground structure on which an owner maintains attachments, which is presumed to be thirty-seven and one-half feet in height. When the owner is an electrical company as defined in RCW 80.04.010, "pole" is limited to structures used to attach electric distribution lines.

"Requester" means a licensee or utility that applies to an owner to make attachments to or in the owner's facilities and that has an agreement with the owner establishing the rates, terms, and conditions for attachments to the owner's facilities.

"Right of way" is an owner's legal right to construct, install, or maintain facilities or related equipment in or on grounds or property belonging to another person. For purposes of this chapter, "right of way" includes only such legal rights that permit the owner to allow third parties access to those rights.

"Unusable space," with respect to poles, means the space on the pole below the usable space, including the amount required to set the depth of the pole. In the absence of measurements to the contrary, a pole is presumed to have twenty-four feet of unusable space.

"Usable space," with respect to poles, means the vertical space on a pole above the minimum grade level that can be used for the attachment of wires, cables, and associated equipment, and that includes space occupied by the owner. In the absence of measurements to the contrary, a pole is presumed to have thirteen and one-half feet of usable space. With respect to conduit, "usable space" means capacity within a conduit that is available or that could, with reasonable effort and expense, be made available, for the purpose of installing wires, cable, and associated equipment for telecommunications or cable services, and that includes capacity occupied by the owner.

"Utility" means any electrical company or telecommunications company as defined in RCW 80.04.010, and does not include any entity cooperatively organized or owned by federal, state, or local government, or a subdivision of state or local government.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 15-21-090 (Docket U-140621, General Order R-582), § 480-54-020, filed 10/21/15, effective 1/1/16.

Wash. Admin. Code § 480-54-030 Duty to provide access; make-ready work; timelines.

(1) An owner shall provide requesters with nondiscriminatory access for attachments to or in any facility the owner owns or controls, except that if the owner is an electrical company as defined in RCW 80.04.010, the owner is not obligated to provide access for attachment to its facilities by another electrical company. An owner may deny such access to specific facilities on a nondiscriminatory basis where there is insufficient capacity or for reasons of safety, reliability, and generally applicable engineering principles; provided that the owner may not deny access to a pole based on insufficient capacity if the requester is willing to compensate the owner for the costs to replace the existing pole with a taller pole and otherwise undertake make-ready work to increase the capacity of the pole to accommodate an additional attachment including, but not limited to, using space- and cost-saving attachment techniques, such as boxing (installation of attachments on both sides of the pole at approximately the same height) or bracketing (installation of extension arms), to the extent that the owner uses, or allows occupants to use, such attachment techniques in the communications space of the owner's poles.

(2) All rates, terms, and conditions made, demanded, or received by any owner for any attachment by a licensee or by a utility must be fair, just, reasonable, and sufficient and must be included in an attachment agreement with the licensee or utility. Parties may mutually agree on terms for attachment to or in facilities that differ from those in this chapter. In the event of disputes submitted for commission resolution, any party advocating rates, terms, or conditions that vary from the rules in this chapter bears the burden to prove those rates, terms, or conditions are fair, just, reasonable, and sufficient.

(3) Except for overlashing requests described in subsection (11) of this section, a requester must submit a written application to an owner to request access to its facilities. The owner may recover from the requester the reasonable costs the owner actually and reasonably incurs to process the application, including the costs of inspecting the facilities identified in the application and preparing a preliminary estimate for any necessary make-ready work, to the extent these costs are not, and would not ordinarily be, included in the accounts used to calculate the attachment rates in WAC 480-54-060. The owner may survey the facilities identified in the application and may recover from the requester the costs the owner actually and reasonably incurs to conduct that survey. The owner must provide the requester with an estimate of those costs prior to conducting a survey. The owner must complete any such survey and respond in writing to requests for access to the facilities identified in the application within forty-five days from the date the owner receives a complete application, except as otherwise provided in this section. A complete application is an application that provides the information necessary to enable the owner to identify and evaluate the facilities to or in which the requester seeks to attach.

(4) If the owner denies the request in an application for access, in whole or in part, the owner's written response to the application must include an explanation of the reasons for the denial for each facility to which the owner is denying access. Such a response must include all relevant information supporting the denial.

(5) To the extent that it grants the access requested in an application, the owner's written response must inform the requester of the results of the review of the application. Within fourteen days of providing its written response, the owner must provide an estimate of charges to perform all necessary make-ready work, including the costs of completing the estimate. Make-ready work costs are nonrecurring costs that are not included in carrying charges and must be costs that the owner actually and reasonably incurs to provide the requester with access to the facility.

(a) The requester must accept or reject an estimate of charges to perform make-ready work within thirty days of receipt of the estimate. The owner may require the requester to pay all estimated charges to perform make-ready work as part of acceptance of the estimate or before the owner undertakes the make-ready work subject to true-up to the reasonable costs the owner actually incurs to undertake the work.

(b) An owner may withdraw an outstanding estimate of charges to perform make-ready work any time after thirty days from the date the owner provides the estimate to the requester if the requester has not accepted or rejected that estimate. An owner also may establish a date no earlier than thirty days from the date the owner provides the estimate to the requester after which the estimate expires without further action by the owner.

(6) For requests to attach to poles, the owner must determine the time period for completing the make-ready work and provide that information in a written notice to the requester and all known occupants with existing attachments on the poles that may be affected by the make-ready work. The owner and the requester must coordinate the make-ready work with any such occupants, as necessary.

(a) For attachments in the communications space, the notice shall:

(i) Specify where and what make-ready work will be performed.

(ii) Set a date for completion of make-ready work that is no later than sixty days after the notice is sent. For good cause shown, the owner may extend completion of the make-ready work by an additional fifteen days.

(iii) State that any occupant with an existing attachment may modify that attachment consistent with the specified make-ready work before the date set for completion of that work. Any occupant with an existing attachment that does not comply with applicable safety requirements must modify that attachment to bring it into compliance before the date set for completion of the make-ready work. The occupant shall be responsible for all costs incurred to bring its attachment into compliance.

(iv) State that the owner may assert its right to fifteen additional days to complete the make-ready work.

(v) State that if make-ready work is not completed by the completion date set by the owner (or fifteen days later if the owner has asserted its right to fifteen additional days), the owner and the requester may negotiate an extension of the completion date or the requester, after giving reasonable notice to the owner, may hire a contractor from the list of contractors the owner has authorized to work on its poles to complete the specified make-ready work within the communications space. If the owner does not maintain a list of authorized contractors, the requester may choose a contractor without the owner's authorization.

(vi) State the name, telephone number, and email address of a person to contact for more information about the make-ready work.

(b) For wireless antennas or other attachments on poles in the space above the communications space, the notice shall:

(i) Specify where and what make-ready work will be performed.

(ii) Set a date for completion of make-ready work that is no later than ninety days after notice is sent. For good cause shown, the owner may extend completion of the make-ready work by an additional fifteen days.

(iii) State that any occupant with an existing attachment may modify the attachment consistent with the specified make-ready work before the date set for completion of that work. Any occupant with an existing attachment that does not comply with applicable safety requirements must modify that attachment to bring it into compliance before the date set for completion of the make-ready work. The occupant shall be responsible for all costs incurred to bring its attachment into compliance.

(iv) State that the owner may assert its right to fifteen additional days to complete the make-ready work.

(v) State the name, telephone number, and email address of a person to contact for more information about the make-ready work.

(7) For the purpose of compliance with the time periods in this section:

(a) The time periods apply to all requests for access to up to three hundred poles or 0.5 percent of the owner's poles in Washington, whichever is less.

(b) An owner shall negotiate in good faith the time periods for all requests for access to more than three hundred poles or 0.5 percent of the owner's poles in Washington, whichever is less.

(c) An owner may treat multiple requests from a single requester as one request when the requests are filed within the same thirty-day period. The applicable time period for completing the optional survey or required make-ready work begins on the date of the last request the owner receives from the requester within the thirty-day period.

(8) An owner may extend the time periods specified in this section under the following circumstances:

(a) For replacing existing poles to the extent that circumstances beyond the owner's control including, but not necessarily limited to, local government permitting, landowner approval, or adverse weather conditions, require additional time to complete the work; or

(b) During performance of make-ready work if the owner discovers unanticipated circumstances that reasonably require additional time to complete the work. Upon discovery of the circumstances in (a) or (b) of this subsection, the owner must promptly notify, in writing, the requester and other affected occupants with existing attachments. The notice must include the reason for the extension and date by which the owner will complete the work. The owner may not extend completion of make-ready work for a period any longer than reasonably necessary and shall undertake such work on a nondiscriminatory basis with the other work the owner undertakes on its facilities.

(9) If the owner determines that a survey is necessary for responding to a request for attachment to poles and fails to complete a survey of the facilities specified in the application within the time periods established in this section, a requester seeking attachment in the communications space may negotiate an extension of the completion date with the owner or may hire a contractor from the list of contractors the owner has authorized to work on its poles to complete the survey. If the owner does not maintain a list of authorized contractors, the requester may choose a contractor without the owner's authorization.

(10) If the owner does not complete any required make-ready work within the time periods established in this section, a requester seeking attachment in the communications space may negotiate an extension of the completion date with the owner or may hire a contractor from the list of contractors the owner has authorized to work on its poles to complete the make-ready work within the communications space:

(a) Immediately, if the owner declines to exercise its right to perform any necessary make-ready work by notifying the requester that the owner will not undertake that work; or

(b) After the end of the applicable time period authorized in this section if the owner has asserted its right to perform make-ready work and has failed to timely complete that work.

If the owner does not maintain a list of authorized contractors, the requester may choose a contractor without the owner's authorization.

(11) An occupant need not submit an application to the owner if the occupant intends only to overlash additional communications wires or cables onto communications wires or cables it previously attached to poles with the owner's consent under the following circumstances:

(a) The occupant must provide the owner with written notice fifteen business days prior to undertaking the overlashing. The notice must identify no more than one hundred affected poles and describe the additional communications wires or cables to be overlashed so that the owner can determine any impact of the overlashing on the poles or other occupants' attachments. The notice period does not begin until the owner receives a complete written notice that includes the following information:

(i) The size, weight per foot, and number of wires or cables to be overlashed; and

(ii) Maps of the proposed overlash route, including pole numbers if available.

(b) A single occupant may not submit more than five notices or identify more than a total of one hundred poles for overlashing in any ten business day period. The applicable time period for responding to multiple notices begins on the date of the last notice the owner receives from the occupant within the ten business day period.

(c) The occupant may proceed with the overlashing described in the notice unless the owner provides a written response, within ten business days of receiving the occupant's notice, prohibiting the overlashing as proposed. The owner may recover from the requester the costs the owner actually and reasonably incurs to inspect the facilities identified in the notice and to prepare any written response. The occupant must correct any safety violations caused by its existing attachments before overlashing additional wires or cables on those attachments.

(d) The owner may refuse to permit the overlashing described in the notice only if, in the owner's reasonable judgment, the overlashing would have a significant adverse impact on the poles or other occupants' attachments. The refusal must describe the nature and extent of that impact, include all relevant information supporting the owner's determination, and identify the make-ready work that the owner has determined would be required prior to allowing the proposed overlashing. The parties must negotiate in good faith to resolve the issues raised in the owner's refusal.

(e) A utility's or licensee's wires or cables may not be overlashed on another occupant's attachments without the owner's consent and unless the utility or licensee has an attachment agreement with the owner that includes rates, terms, and conditions for overlashing on the attachments of other occupants.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 15-21-090 (Docket U-140621, General Order R-582), § 480-54-030, filed 10/21/15, effective 1/1/16.

Wash. Admin. Code § 480-54-040 Contractors for survey and make-ready work.

(1) An owner should make available and keep up-to-date a reasonably sufficient list of contractors it authorizes to perform surveys and make-ready work in the communications space on its poles in cases where the owner has failed to meet deadlines specified in WAC 480-54-030.

(2) If a requester hires a contractor for purposes specified in WAC 480-54-030, the requester must choose a contractor included on the owner's list of authorized contractors. If the owner does not maintain such a list, the requester may choose a contractor without the owner's approval of that choice.

(3) A requester that hires a contractor for survey or make-ready work must provide the owner with prior written notice identifying and providing the contact information for the contractor and must provide a reasonable opportunity for an owner representative to accompany and consult with the contractor and the requester.

(4) Subject to commission review in a complaint proceeding, the consulting representative of an owner may make final determinations, on a nondiscriminatory basis, on the attachment capacity of any pole and on issues of safety, reliability, and generally applicable engineering principles.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 15-21-090 (Docket U-140621, General Order R-582), § 480-54-040, filed 10/21/15, effective 1/1/16.

Wash. Admin. Code § 480-54-050 Modification costs; notice; temporary stay.

(1) The costs of modifying a facility to create capacity for additional attachment, including but not limited to replacement of a pole, shall be borne by the requester and all existing occupants and owner that directly benefit from the modification. Each such occupant or owner shall share the cost of the modification in proportion to the amount of new or additional usable space the occupant or owner occupies on or in the facility. An occupant or owner with an existing attachment to the modified facility shall be deemed to directly benefit from a modification if, within sixty days after receiving notification of such modification, that occupant or owner adds to its existing attachment or otherwise modifies its attachment. An occupant or owner with an existing attachment shall not be deemed to directly benefit from replacement of a pole if the occupant or owner only transfers its attachment to the new pole.

(2) The costs of modifying a facility to bring an existing attachment into compliance with applicable safety requirements shall be borne by the occupant or owner that created the safety violation that necessitated the modification. Such costs include, but are not necessarily limited to, the costs incurred by the owner or other occupants to modify the facility or conforming attachments. An occupant or owner with an existing conforming attachment to a facility shall not be required to bear any of the costs to rearrange or replace the occupant's or owner's attachment if such rearrangement or replacement is necessitated solely to accommodate modifications to the facility to bring another occupant's or owner's attachment into conformance with applicable safety requirements to remedy a safety violation caused by another occupant or owner. The owner and each occupant shall bear their own costs to modify their existing attachments if required to comply with applicable safety requirements if an owner or occupant did not create a safety violation that necessitated the modification.

(3) An owner shall provide an occupant with written notice prior to removal of, termination of service to, or modification of (other than routine maintenance or modification in response to emergencies) any facilities on or in which the occupant has attachments affected by such action. The owner must provide such notice as soon as practicable but no less than sixty days prior to taking the action described in the notice; provided that the owner may provide notice less than sixty days in advance if a governmental entity or landowner other than the owner requires the action described in the notice and did not notify the owner of that requirement more than sixty days in advance.

(4) A utility or licensee may file with the commission and serve on the owner a "petition for temporary stay" of utility action contained in a notice received pursuant to subsection (3) of this section within twenty days of receipt of such notice. The petition must be supported by declarations or affidavits and legal argument sufficient to demonstrate that the petitioner or its customers will suffer irreparable harm in the absence of the relief requested that outweighs any harm to the owner and its customers and that the petitioner will likely be successful on the merits of its dispute. The owner may file and serve an answer to the petition within seven days after the petition is filed unless the commission establishes a different deadline for an answer.

(5) An owner may file with the commission and serve on the occupant a petition for authority to remove the occupant's abandoned attachments. The petition must identify the attachments and provide sufficient evidence to demonstrate that the occupant has abandoned those attachments. The occupant must file an answer to the petition within twenty days after the petition is filed unless the commission establishes a different deadline for an answer. If the occupant does not file an answer or otherwise respond to the petition, the commission may authorize the owner to remove the attachments without further proceedings.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 15-21-090 (Docket U-140621, General Order R-582), § 480-54-050, filed 10/21/15, effective 1/1/16.

Wash. Admin. Code § 480-54-060 Rates.

(1) A fair, just, reasonable, and sufficient rate for attachments to or in facilities shall assure the owner the recovery of not less than all the additional costs of procuring and maintaining the attachments, nor more than the actual capital and operating expenses, including just compensation, of the owner attributable to that portion of the facility used for the attachments, including a share of the required support and clearance space, in proportion to the space used for the attachment, as compared to all other uses made of the facility, and uses that remain available to the owner.

(2) The following formula for determining a fair, just, reasonable, and sufficient rate shall apply to attachments to poles:

| Maximum Rate | = | Space Factor | x | Net Cost of a Bare Pole | x | Carrying Charge Rate | | --- | --- | --- | --- | --- | --- | --- |

| Where Space Factor | = | Occupied Space | | --- | --- | --- | | Total Usable Space | | |

(3) The following formula for determining a fair, just, reasonable, and sufficient rate shall apply to attachments to ducts or conduits:

| Maximum Rate per Linear ft./m. | = | [ | 1 | x | 1 Duct | ] | x | [ | Number | x | Net Conduit Investment | ] | x | Carrying Charge Rate | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | Number of Ducts | Number of Inner Ducts | | | of Ducts | System Duct Length (ft./m.) | | | | | | | | | | | | | | | | | | | | | | | | | | (Percentage of Conduit Capacity) | | (Net Linear Cost of a Conduit) | | | | | | | | | | | | |

simplified as:

| | Maximum Rate per Linear ft./m. | = | [ | 1 Duct | ] | x | [ | Net Conduit Investment | ] | x | Carrying Charge Rate | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | | No. of Inner Ducts | | | System Duct Length (ft./m.) | | | | | | | |

If no inner duct or only a single inner duct is installed, the fraction "1 Duct divided by the Number of Inner Ducts" is presumed to be 1/2.

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

Wash. Admin. Code § 480-54-070 Complaint.

(1) Whenever the commission shall find, after hearing had upon complaint by a licensee or by a utility, that the rates, terms, or conditions demanded, exacted, charged, or collected by any owner in connection with attachments to its facilities are not fair, just, and reasonable, or by an owner that the rates or charges are insufficient to yield a reasonable compensation for the attachment, the commission will determine the fair, just, reasonable, and sufficient rates, terms, and conditions thereafter to be observed and in force and fix the same by final order entered within three hundred sixty days after the filing of the complaint. The commission will enter an initial order resolving a complaint filed in conformance with this rule within six months of the date the complaint is filed. The commission may extend this deadline for good cause. In determining and fixing the rates, terms, and conditions, the commission will consider the interest of the customers of the licensee or utility, as well as the interest of the customers of the owner. Except as provided in this rule, the commission's procedural rules, chapter 480-07 WAC, govern complaints filed pursuant to this rule.

(2) A utility or licensee may file a formal complaint pursuant to this rule if:

(a) An owner has denied access to its facilities;

(b) An owner fails to negotiate in good faith the rates, terms, and conditions of an attachment agreement; or

(c) The utility or licensee disputes the rates, terms, or conditions in an attachment agreement, the owner's performance under the agreement, or the owner's obligations under the agreement or other applicable law.

(3) An owner may file a formal complaint pursuant to this rule if:

(a) Another utility or licensee is unlawfully making or maintaining attachments to or in the owner's facilities;

(b) Another utility or licensee fails to negotiate in good faith the rates, terms, and conditions of an attachment agreement; or

(c) The owner disputes the rates, terms, or conditions in an attachment agreement, the occupant's performance under the agreement, or the occupant's obligations under the agreement or other applicable law.

(4) The execution of an attachment agreement does not preclude any challenge to the lawfulness or reasonableness of the rates, terms, or conditions in that agreement, provided that one of the following circumstances exists:

(a) The parties made good faith efforts to negotiate the disputed rates, terms, or conditions prior to executing the agreement but were unable to resolve the dispute despite those efforts, and such challenge is brought within six months from the agreement execution date; or

(b) The party challenging the rate, term, or condition was reasonably unaware of the other party's interpretation of that rate, term, or condition when the agreement was executed.

(5) A complaint authorized under this section must contain the following:

(a) A statement, including specific facts, demonstrating that the complainant engaged or reasonably attempted to engage in good faith, executive-level negotiations to resolve the disputed issues raised in the complaint and that the parties failed to resolve those issues despite those efforts; such negotiations must include the exchange of reasonably relevant information necessary to resolve the dispute including, but not limited to, the information required to calculate rates in compliance with WAC 480-54-060;

(b) Identification of all actions, rates, terms, and conditions alleged to be unjust, unfair, unreasonable, insufficient, or otherwise contrary to applicable law;

(c) Sufficient data or other factual information and legal argument to support the allegations to the extent that the complainant possesses such factual information; and

(d) A copy of the attachment agreement, if any, between the parties.

(6) The commission will issue a notice of prehearing conference within five business days after the complaint is filed. The party complained against must answer the complaint within ten business days from the date the commission serves the complaint. The answer must respond to each allegation in the complaint with sufficient data or other factual information and legal argument to support that response to the extent the respondent possesses such factual information.

(7) A licensee or utility has the burden to prove its right to attach to or in the owner's facilities and that any attachment requirement, term, or condition an owner imposes or seeks to impose that the licensee or utility challenges violates any provision of chapter 80.54 RCW, this chapter, or other applicable law. An owner bears the burden to prove that the attachment rates it charges or proposes to charge are fair, just, reasonable, and sufficient or that the owner's denial of access to its facilities is lawful and reasonable.

(8) If the commission determines that a rate, term, or condition complained of is not fair, just, reasonable, and sufficient, the commission may prescribe a rate, term, or condition that is fair, just, reasonable, and sufficient. The commission may require the inclusion of that rate, term, or condition in an attachment agreement and to the extent authorized by applicable law, may order a refund or payment of the difference between any rate the commission prescribes and the rate that was previously charged during the time the owner was charging the rate after the effective date of this rule.

(9) If the commission determines that an owner has unlawfully or unreasonably denied or delayed access to a facility, the commission may order the owner to provide access to that facility within a reasonable time frame and in accordance with fair, just, reasonable, and sufficient rates, terms, and conditions.

(10) Nothing in this section precludes an owner or occupant from bringing any other complaint that is otherwise authorized under applicable law.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 80.54.020, and 80.54.060. WSR 15-21-090 (Docket U-140621, General Order R-582), § 480-54-070, filed 10/21/15, effective 1/1/16.

Chapter 480-60 Railroad companies—Clearances.

Wash. Admin. Code § 480-60-010 Application of rules.

(1) The rules in this chapter apply to all common carrier railroad companies operating within the state of Washington, including any facilities or structures owned or operated by the railroad, and to the construction and reconstruction of tracks or structures adjacent thereto.

(2) A railroad company must not operate any equipment over tracks where the clearances are less than those required by these rules, unless a commission order has been entered granting an exemption or an exemption is contained in these rules.

(3) Side clearances are based on the assumption that equipment used on tracks is not greater than ten feet ten inches wide. Height clearances are based on the assumption that equipment used on tracks is not higher than fifteen feet six inches. If equipment exceeds ten feet ten inches in width, the railroad must comply with WAC 480-60-080.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-010, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-010, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-012 Contacting the commission.

You may contact the commission in writing, in person, by telephone, by email, or by facsimile. The commission's location, mailing address, email address and telefax number are found in WAC 480-07-125. The commission's internet home page address is found in WAC 480-04-035.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-60-012, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-012, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-60-014 Rules of practice and procedure.

The commission's rules governing administrative practices and procedures are in chapter 480-07 WAC. When a rule in this chapter conflicts with a rule in chapter 480-07 WAC, the rule in this chapter applies to railroad companies.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-60-014, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-014, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-60-020 Exemptions.

(1) When the overhead or side clearances between a track and any building, structure, or facility are less than the minimum required by these rules, but were lawfully created prior to October 9, 1969, the minimum clearances required by these rules must be provided whenever the building, structure, or facility is relocated or reconstructed. However, the commission will consider specific requests for the future continuance of these previously lawful clearances when the railroad or owner or manager of the building, structure, or facility applies for an exemption under the provision set forth below.

(2) Where restricted clearances are unavoidable, the following moves are allowed without requesting an exemption from the commission:

(a) The movement of material over tracks when the material is needed for the construction or maintenance of the tracks;

(b) The movement of special work equipment used in the construction, maintenance or operation of the railroad;

(d) All movements authorized in this subsection may be made only after all reasonable steps are taken to provide for the safety of all who could be harmed by the move.

(3) The commission may grant an exemption of any rule in this chapter, if consistent with the public interest, the purposes underlying regulation, and applicable statutes.

(4) To request a rule exemption, a person must file with the commission a written request identifying the rule for which an exemption is sought, and giving a full explanation of the reason the exemption is requested.

(5) The commission will assign the request a docket number, if needed, and schedule the request for consideration at one of its regularly scheduled open meetings or, if appropriate under chapter 34.05 RCW, in an adjudication. The commission will notify the person requesting the exemption, and other interested persons, of the date the commission will consider the request.

(6) The commission will enter an order granting or denying the request, or setting it for hearing pursuant to chapter 480-07 WAC.

(7) Logging railroads, or any operation directly incident to logging, now subject to the provisions of the safety standards for logging operations in chapter 296-54 WAC, published by the division of safety of the department of labor and industries of the state of Washington, are exempted from these rules.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-60-020, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-020, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-020, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-030 Definitions.

The definitions in this section apply throughout this chapter unless the context clearly requires otherwise.

"Car width" means twice the distance from the centerline of the car to its extreme outside part.

"Commission" means the Washington utilities and transportation commission.

"Icing platforms" means structures used in performing the service of icing, precooling, heating, ventilating and servicing of cars used in the handling of commodities requiring those services.

"Overcrossing" means any point or place where a highway crosses a railroad by passing above it.

"Overhead clearance" means the distance measured along a line which is perpendicular to and joins a horizontal plane passing through the top of the highest rail and a horizontal plane passing through the lowest point of the overhead structure or obstruction.

"Side clearance" means the shortest distance from centerline of track to a structure or appurtenances such as downspouts, ladders, or other obstructions at the side of the track.

"Track clearance" means the shortest distance between the centerlines of adjacent tracks.

"Walkways" means pathways located alongside or in the vicinity of a railroad track, or on a trestle or bridge, that provide an area for a railroad employee to perform duties associated with the track, trestle or bridge.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-030, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-030, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-035 Walkways.

(1) Walkways must be provided in yards where employees regularly work on the ground.

(2) Ease and safety of walking are the primary considerations for providing walkways. Ease and safety of walking and adequate track drainage are the primary considerations for selecting surface materials. Accordingly, walkways required by this rule must have a reasonably smooth surface and be maintained in a safe condition, without compromising track drainage. Any of the following are suitable surface materials:

(a) Crushed material may be used for walkways. The material must not exceed one and one-half inches in size. The term "one and one-half inches in size" has a specialized meaning. That meaning can vary from company to company within the industry. For purposes of this rule, the term will have the following meaning (note: Percentages refer to weight measurements):

100 percent of the material will pass through a one and one-half inch square sieve opening.

90 to 100 percent of the material will pass through a one inch square sieve opening.

40 to 80 percent of the material will pass through a three-quarter inch square sieve opening.

15 to 60 percent of the material will pass through a one-half inch square sieve opening.

0 to 30 percent of the material will pass through a three-eighths inch square sieve opening.

0 to 10 percent of the material will pass through a #4 sieve (standard nomenclature in the industry).

0 to 5 percent of the material will pass through a #8 sieve.

0 to 0.5 percent of the material will pass through a #200 sieve.

| Note: | Smaller crushed material is preferable. It should be used where drainage and durability issues do not arise. Material that is three-quarter inch or less in size is recommended for switching leads in yards. | | --- | --- |

(b) Walkway surfaces may also be made of asphalt, concrete, planking, grating, or other similar material suitable for walking.

(c) Native materials may be used for a walkway surface if the materials provide a surface that is reasonably smooth and safe.

(3) Walkways must not have a grade or slope in excess of one inch of elevation for each eight inches of horizontal length in any direction, unless the geography of the area makes this impracticable.

(4) Walkways must be kept clear of vegetation, debris, mud, and other obstructions that constitute a hazard to railroad employees working on the ground. Standing water must be removed from walkways as soon as reasonably possible.

(5) When walkways are removed or damaged due to construction or emergencies, they must be restored within thirty days after construction is completed or the emergency ends.

(6) Walkways must be sufficiently wide to allow employees to safely perform all duties associated with the use of the walkways.

(7) Walkways on bridges and trestles existing on (effective date of this rule), must not be permanently removed without approval from the commission. Permission must be obtained by the process set forth in WAC 480-60-020. Walkways on bridges or trestles that are temporarily removed or damaged due to construction or emergencies must be restored within thirty days after construction is completed or the emergency ends.

(8)(a) Unless the commission identifies a serious safety condition on a walkway, Class I railroads must bring their walkways into compliance with this section within one year of the effective date of these rules, and Class II and Class III railroads must bring their walkways into compliance within five years of the effective date of these rules.

(b) If a railroad believes it will experience a serious financial hardship in bringing its walkways into compliance within the time allowed, it must submit to the commission in writing, an alternate proposal for bringing its walkways into compliance. The commission may grant an extension of time following a review of the railroad’s alternate walkway compliance proposal.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-035, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-60-040 Overhead clearances.

(1) General rule. Overhead clearances shall be at least twenty-two feet six inches unless one of the provisions in this section applies.

(2) Buildings.

The overhead clearance inside of entirely enclosed buildings may be reduced to eighteen feet, if the tracks terminate within the building. When an overhead clearance of less than twenty-two feet six inches is established in a building, all cars, locomotives or other equipment must stop before entering it. The conditions provided to require the stop must be approved by the commission. Engine houses and car shops are exempt from these regulations.

(3) Trains in tunnels, under overcrossings, and on bridges.

Minimum overhead clearance in tunnels, under overcrossings, and on bridges may be decreased to the extent defined by the half-circumference of a circle having a radius of eight feet and tangent to a horizontal line twenty-two feet six inches above top of rail at a point directly above the centerline of track.

(4) All other structures.

Minimum overhead clearance may be decreased to the extent defined by the half-circumference of a circle having a radius of eight feet six inches and tangent to a horizontal line twenty-two feet six inches above top of rail at a point directly over the centerline of track.

(5) Overhead clearance of wires.

All overhead wires must have a minimum vertical clearance of not less than that specified by the safety rules for the installation and maintenance of electric supply and communication lines as provided by the rules for electrical construction and the electrical and communication workers safety rules of the state of Washington.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-040, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-040, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-050 Side clearances.

(1) General rule. Side clearances must be at least 8 feet 6 inches unless one of the provisions below applies. If exceptions in subsections (2) through (5) or (7) of this section apply, full side clearance of 8 feet 6 inches shall be provided on the opposite side of the track from the platform.

(2) Platforms - 8" or less above top of rail . . . .4'8"

(3) Platforms - 4'0" or less above top of rail . . . .7'3"

(4) Platforms - 4'6" or less above top of rail - When used principally for loading or unloading refrigerator cars . . . .8'0"

(5) Icing platforms and supports . . . .7'3"

(6) A retractable platform which is attached to a permanent structure must be designed so that when it is not in use no part of it shall fall within the clearance limits herein prescribed for a platform of that height above the top of the rail.

(7) Platforms - Combinations of any above.

Platforms defined under (2) above may be combined with either (4) or (3) if the lower platform has a level surface from a point not more than four feet eight inches from centerline of track to the face of the wall of the platform with which it is combined. No other combinations will be permitted.

(8) Bridges and tunnels . . . .8'0"

(9) Bridges and tunnels - Upper section (see WAC 480-60-040(3)).

Side clearance on bridges and in tunnels may be decreased to the extent defined by the half circumference of a circle having a radius of eight feet and tangent to a horizontal line twenty-two feet six inches above top of rail directly above centerline of track.

(10) Bridges - Lower section and structures 4' high or less. Bridges, hand rails, water barrels and refuge platforms on bridges and trestles, water columns, oil columns, block signals, cattle guards and cattle chutes, or portions of those items, four feet or less above top of rail may have clearances decreased to the extent defined by a line extending diagonally upward from a point level with the top of rail and five feet distant laterally from centerline of track to a point four feet above top of rail and eight feet distant laterally from centerline of track: Provided, That the minimum clearance for hand rails and water barrels must be seven feet six inches and the minimum clearance for fences of cattle guards must be six feet nine inches.

Unless previously approved, the clearances authorized in this subsection, except as provided for hand rails and water barrels, are not permitted on bridges where the work of trainmen or yardmen requires them to be upon the decks of such bridges for the purpose of coupling or uncoupling cars in the performance of switching service on a switching lead.

(11) Side clearance - Engine house and car repair shop

doors . . . .7'6"

(12) Side clearance - Interlocking mechanism, switch boxes, and other similar devices projecting 4" or less above the top of the rail . . . .3'0"

(13) Side clearance - Poles supporting trolley

contact . . . .8'3"

(14) Side clearance - Signals and switch stands 3' high or less when located between tracks where not reasonably possible to provide clearances otherwise prescribed in these rules . . . .6'0"

(15) Side clearance - Signals and switch stands other than above . . . .8'0"

(16) Side clearances on curved track. Side clearances adjacent to curved track shall be increased as necessary to give the equivalent of tangent track clearances. As a general rule, the side clearance on curved track should be increased 1-1/2" for each degree of curvature.

(17) Side clearances - Material or merchandise adjacent to tracks.

No merchandise, material or other articles shall be placed or stored on ground or platforms adjacent to any track at a distance less than eight feet six inches from the centerline of track, except in cases of maintenance or emergency when such material is to be used within a reasonable period of time or where local conditions make compliance with this rule impossible.

(18) Clearances - Car puller units and appurtenances.

Clearances for car puller units and appurtenances must be approved by the commission through the process set forth in WAC 480-62-020.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-050, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-050, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-060 Track clearances.

(1) Track clearances - in general . . . . 14'0"

The minimum distance between the centerlines of parallel standard gauge railroad tracks, which are used or proposed to be used for transporting cars, engines, motors, or like equipment, must be fourteen feet, except as set forth below.

(2) Track clearances - Main and subsidiary tracks . . . .15'0"

The centerline of any standard gauge track, except a main track or a passing track, parallel and adjacent to a main track or a passing track, must be at least fifteen feet from the centerline of the main track or passing track however, where a passing track is adjacent to and at least fifteen feet distant from the main track, any other track may be constructed adjacent to the passing track with 14 feet clearance.

(3) Track clearances - Parallel team, house, or industry tracks . . . . 13'0"

Minimum clearances between centerlines of parallel team, house, or industry tracks must be thirteen feet.

(4) Track clearances - Parallel ladder or ladder and other track . . . . 20'0"

The minimum clearance between centerlines of any standard gauge ladder track, constructed parallel to any other track, must be twenty feet.

(5) Track clearances - Existing tracks.

Tracks existing prior to October 9, 1969, may be extended at clearances lawfully prescribed prior to that date.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-060, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-060, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-080 Operation of excess dimension loads.

(1) No person may ride on the roof of any car, or on the side of an excess width car, or the side of a car with a load that extends more than 5'5" from centerline.

(2) The railroad company must provide written notice to the train stating the total number of cars with excess height or width.

(3) Notice to yard supervisors. Yard supervisors must be notified sufficiently in advance of the arrival of cars with excess height or width to enable them to take necessary precautions to safeguard employees in yard.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-080, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-080, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-090 Narrow gauge railroads transporting freight cars.

(1) Side clearances.

For the operation of equipment on narrow gauge tracks, the side clearances and distances between centerlines of tracks must provide a distance from the sides of cars, or between the widest cars operated, not less than those distances provided by these rules for cars ten feet ten inches in width operated on standard gauge tracks.

(2) All other requirements of these rules, where applicable, must be observed by narrow gauge railroads.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-60-090, filed 1/21/00, effective 2/21/00
Order R-5, § 480-60-090, filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-990 Illustration—Typical clearance of structures from railroad tracks.

typical clearance of structures from railroad tracks

| | | --- | | |

History

Statutory Authority: RCW 80.01.040. WSR 94-11-003 (Order R-413, Docket No. TR-940126), § 480-60-990, filed 5/4/94, effective 6/4/94
Order R-5, Illustration (codified as WAC 480-60-990), filed 6/6/69, effective 10/9/69.

Wash. Admin. Code § 480-60-99001 Illustration—Typical track spacing.

Legislative questions or comments

Call the Legislative Hotline

1-800-562-6000

TTY for deaf/hard of hearing: 1-800-833-6388

Learn more about the Legislative Hotline

Studies, audits, and reports - Performance audits - Actuarial reporting - Transportation studies and reports - Reports from outside organizations - Investigation reports
Accessibility
Jobs
Public records requests
Site help
Contact us
Email updates (GovDelivery)
Disclaimer
Privacy Notice

Chapter 480-62 Railroad companies—Operations.

Wash. Admin. Code § 480-62-125 Definitions.

The definitions in this section apply throughout this chapter unless the context clearly requires otherwise.

"Class I railroad company" means a railroad company having annual operating revenues of $250,000,000 or more;

"Class II railroad company" means a railroad company having annual operating revenue of less than $250,000,000, but more than $20,000,000; and

"Class III railroad company" means a railroad company having annual operating revenues of $20,000,000 or less.

"Commission" means the Washington utilities and transportation commission.

"Contract crew transportation company" means any person, organization, company or other entity that operates one or more contract crew transportation vehicles.

"Contract crew transportation vehicle" means every motor vehicle designed to transport 15 or fewer passengers, including the driver, that is owned, leased, operated, or maintained by a person contracting with a railroad company or its agents, contractors, subcontractors, vendors, subvendors, secondary vendors, or subcarriers and used primarily to provide railroad crew transportation.

"Department of labor and industries" means the Washington state department of labor and industries.

"Department of transportation" means the Washington state department of transportation.

"On track equipment" means self-propelled equipment, other than locomotives, that can be operated on railroad tracks.

"Passenger carrying vehicle" means those buses, vans, trucks, and cars owned, operated, and maintained by a railroad company primarily used to transport railroad employees, other than in the cab of such vehicles, and are designed primarily for operation on roads which may or may not be equipped with retractable flanged wheels for operation on railroad tracks.

"Railroad" means every permanent road with a line of rails fixed to ties providing a track for cars or equipment drawn by locomotives or operated by any type of power, including interurban and suburban electric railroads, for the public use of conveying persons or property for hire, with all bridges, ferries, tunnels, equipment, switches, spurs, sidings, tracks, stations, and terminal facilities of every kind, used, operated, controlled, managed, or owned by or in connection therewith. Unless otherwise provided by rule, the term "railroad" does not include logging and industrial railroads, or street railways operating within the limits of any incorporated city or town.

"Railroad company" means every corporation, company, partnership, association, joint stock association, or person, their lessees, trustees, or receivers appointed by any court, and any common carrier owning, operating, controlling or managing any railroad or any cars or other equipment used on, or in connection with the railroad within this state.

"Railroad police officer" means a peace officer who is commissioned in his or her state of legal residence or state of employment by a railroad company to enforce state laws for the protection of railroad property, personnel, passengers and/or cargo.

"Remote-control area" means any place remote-control operations are conducted on a railroad.

"Remote-control operations" means control of the movement of locomotives through the use of radio transmitter and receiver systems by persons not physically located at the controls within the confines of a locomotive cab.

"Remote-control zone" means a designated restricted access area in which remote-control operations may occur under alternative point protection procedures.

"State" means the state of Washington.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.40.015(1), 81.40.025 (4)(a), and chapter 81.40 RCW. WSR 22-24-021 (Docket TR-200536, General Order R-606), § 480-62-125, filed 11/30/22, effective 12/31/22. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-125, filed 4/18/18, effective 5/19/18. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 04-11-023 (Docket No. TR-021465, General Order No. R-514), § 480-62-125, filed 5/11/04, effective 6/11/04. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-125, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-130 Application of this chapter.

The rules in this chapter apply within certain cities and to any railroad company subject to the jurisdiction of the commission under RCW 81.04.010 and chapters 81.04, 81.24, 81.28, 81.36, 81.40, 81.44, 81.48, 81.52, 81.53, 81.54, 81.60, and 81.61 RCW, as set forth below:

(1) To all Class I, II, and III railroad companies operating within the state of Washington, with the exceptions noted in subsections (2), (3), and (4) of this section.

(2) To and within first-class cities except for WAC 480-62-145, 480-62-150, and 480-62-225.

(3) To and within cities with a population of more than 400,000 except for WAC 480-62-145, 480-62-150, 480-62-225, 480-62-230, and 480-62-235.

(4) To logging and industrial railroads except for WAC 480-62-200, 480-62-205, 480-62-215, 480-62-240, 480-62-245, 480-62-250, 480-62-300, the portions of WAC 480-62-310 that do not involve grade crossing accidents, WAC 480-62-315 (2), (4) and (5), and WAC 480-62-325.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.24.010, 81.53.010, 81.53.240, and chapter 81.44 RCW. WSR 16-05-032 (Docket TR-151079, General Order R-584), § 480-62-130, filed 2/9/16, effective 3/11/16. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-130, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-135 Additional requirements.

(1) These rules do not relieve any railroad company from any of its duties and obligations under the laws of the state of Washington.

(2) The commission retains the authority to impose additional or different requirements on any railroad company in appropriate circumstances, consistent with the requirements of law.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-135, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-140 Exemptions from rules.

(1) The commission may grant an exemption from the provision of any rule in this chapter, when doing so in chapter 480-62 WAC is consistent with the public interest, the purposes underlying regulation, and applicable statutes.

(2) To request a rule exemption, a person must file with the commission a written request identifying the rule for which an exemption is sought, giving a full explanation of the reason the exemption is requested.

(3) The commission will assign the request a docket number, if it does not arise in an existing docket, and will schedule the request for consideration at one of its regularly scheduled open meetings or, if appropriate under chapter 34.05 RCW, in an adjudication. The commission will notify the person requesting the exemption, and other affected persons, of the date of the hearing or open meeting when the commission will consider the request.

(4) In determining whether to grant the request, the commission may consider whether application of the rule would impose undue hardship on the petitioner, of a degree or a kind different from hardships imposed on other similarly situated persons, and whether the effect of applying the rule would be contrary to the purposes of the rule.

(5) The commission will enter an order granting or denying the request or setting it for hearing, pursuant to chapter 480-07 WAC.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-62-140, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-140, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-145 Commission proceedings.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-62-145, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-145, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-150 Grade crossing petitions.

(1) Whenever a railroad company, city, county, the department of transportation, the parks and recreation commission, or the commission seeks to take any of the following actions at a railroad-highway grade crossing, it must file a petition with the commission seeking approval under RCW 81.53.020 and 81.53.060:

(a) Opening a railroad-highway crossing at-grade, or by constructing an overcrossing or undercrossing;

(b) Closing a railroad-highway crossing;

(d) Realigning highway or railroad tracks;

(e) Widening highways;

(f) Constructing multiple tracks; or

(g) Changes to crossing surfaces that alter:

The dimensions of an existing surface;
The angle at which the tracks intersect a highway; or
The vertical alignment of a crossing (i.e., to accommodate track superelevation, or changes in railroad or roadway grade).

(2) Whenever a railroad company, city, county, the department of transportation, the parks and recreation commission, or the commission seeks to take any of the following actions at a railroad-highway grade crossing, it must file a petition with the commission seeking approval under RCW 81.53.261:

(a) Modifying or upgrading warning signals or devices;

(b) Adding a crossing signal;

(d) Modifying or upgrading circuitry for a warning signal; or

(e) Installing an intertie between railroad crossing signals and highway traffic signals.

(3) This rule applies to all railroad companies, including logging and industrial railroads, however, it does not apply to crossings within the limits of first class cities, unless federal funding is used at the crossing.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-150, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-160 Compliance policy.

(1) The commission encourages voluntary compliance with state statutes, rules, and commission orders through the following:

(a) A program emphasizing education and technical assistance; and

(b) A compliance program including inspections and investigation of railroad company operations:

(i) For compliance with state statutes, rules, and commission orders;

(ii) For compliance with Federal Railroad Administration (FRA) rules through the State Safety Participation Program, 49 C.F.R. Part 212. Information about Title 49 C.F.R. regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(2) The commission may pursue administrative actions, including, but not limited to, issuing defect notices to railroad companies, reports and recommendations to the FRA, warnings, sanctions, and penalty assessments.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-160, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-165 Severability.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-165, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-170 Resolving disputes about the meaning of these rules.

If the interpretation of any rule in this chapter is questioned by a railroad company, a request for clarification may be filed with the commission.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-170, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-200 Roadway worker safety and operating rules and statutes.

(1) The commission adopts by reference the following parts of Title 49 of the Code of Federal Regulations (C.F.R.) and all pertinent appendices:

(a) 49 C.F.R. Part 209: Railroad safety enforcement procedure;

(b) 49 C.F.R. Part 214: Railroad workplace safety;

(d) 49 C.F.R. Part 218: Railroad operating practices;

(e) 49 C.F.R. Part 219: Procedures for transportation workplace drug testing programs;

(f) 49 C.F.R. Part 220: Radio standards and procedures;

(g) 49 C.F.R. Part 221: Rear end marking device - Passenger, commuter and freight trains;

(h) 49 C.F.R. Part 225: Railroad Accidents/Incidents: Reports classification, and investigations;

(i) 49 C.F.R. Part 228: Hours of service of railroad employees;

(j) 49 C.F.R. Part 239: Passenger train emergency preparedness;

(k) 49 C.F.R. Part 240: Qualification and Certification of Locomotive Engineers Hours of Service;

(l) 49 C.F.R. Part 211: Hours of Service.

(2) Information about Title 49 C.F.R. regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(3) All violations of the above incorporated rules and statutes will be submitted to the Federal Railroad Administration for enforcement action pursuant to the State Safety Participation Program, 49 C.F.R. Part 212.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 12-05-063 (Docket A-111722, General Order R-564), § 480-62-200, filed 2/15/12, effective 3/17/12. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-200, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-205 Track safety standards.

(1) Rules governing track safety standards are prescribed by the United States Department of Transportation in Title 49, Part 213, of the Code of Federal Regulations, along with appendices. Information about Title 49 C.F.R. regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(2) All violations of the above incorporated rules will be submitted to the Federal Railroad Administration for enforcement action pursuant to the State Safety Participation Program, 49 C.F.R. Part 212.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-205, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-210 Crossing signal circuitry.

(1) Rules governing grade crossing signal system safety are prescribed by the United States Department of Transportation in Title 49 of the Code of Federal Regulations, Part 234 along with appendices. Information about Title 49 C.F.R. regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(3) Violations involving all railroad companies not subject to the jurisdiction of the Federal Railroad Administration will be enforced pursuant to WAC 480-62-160, Compliance policy.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-210, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-215 Hazardous materials regulations.

(1) Rules governing hazardous materials are prescribed by the United States Department of Transportation in Title 49, Code of Federal Regulations, Parts 171 through 174, and Parts 178 and 179, and the appendices to Title 49. Information about Title 49 C.F.R. regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(2) All violations of the above incorporated rules and statutes will be submitted to the Federal Railroad Administration for enforcement action pursuant to the State Safety Participation Program, 49 C.F.R. Part 212.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-215, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-220 Blockage of public grade crossings.

(1) Railroad companies must not block a grade crossing for more than ten consecutive minutes, if reasonably possible.

(2) A blocked grade crossing must be cleared immediately by the fastest available method, if the train movement will not violate rules issued by the Federal Railroad Administration, upon the request of law enforcement or other emergency services personnel, or when the engineer becomes aware that the crossing is being approached by a law enforcement or other emergency services vehicle with its emergency lights flashing or that such a vehicle is stopped with its emergency lights flashing at the crossing blocked by the train.

(3) A grade crossing is "blocked" if any part of a stopped train occupies the crossing or causes warning devices to be activated.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-220, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-225 Crossing surfaces.

(1) Areas of responsibility.

(a) Highway authorities must maintain and keep in repair the surfaces and the subgrades of the roadway approaches up to one foot from the outside of either rail at a grade crossing with one track. At crossings involving more than one track, the highway authority must maintain and keep in repair the roadway approaches up to one foot from the outside of each of the two outside rails.

(b) At a grade crossing with one track, railroad companies must maintain and keep in repair the crossing surfaces between the rails and for a distance of one foot on the outside of either rail. At crossings involving more than one track, railroad companies must maintain and keep in repair the crossing surfaces and the roadway for the entire area between the outermost rails at the crossing, and for a distance of one foot outside of the two outermost rails.

(c) If tracks at a crossing involving more than one track are owned by different railroad companies, each company must maintain and keep in repair the crossing surfaces and roadway within its right of way that is within the area specified in (b) of this subsection.

(2) Crossing surfaces.

(a) Crossing surfaces include shoulders and pedestrian walkways immediately adjacent to a roadway or shoulder. If reasonably possible, roadways and adjacent shoulders and pedestrian walkways must be continued through a crossing without narrowing the roadway, shoulder or walkway.

(b) The subgrade to a crossing surface must be maintained in a manner which minimizes damage to the crossing surface, taking into account the effects of topography, water tables, weather, and the types of vehicular traffic generally using the crossing.

(3) Roadways.

(a) Roadways between tracks at crossings involving more than one set of tracks, including the roadway subgrade, must be of the same quality as the roadway approaches to the crossing unless the highway authority and the railroad company agree to a higher quality.

(b) Roadway approaches must be constructed and maintained so that the transition between the roadway and crossing surface is on the same plane and smooth.

(c) At grade crossings where track superelevation exists, roadway approaches must be constructed and maintained so that the transition between the roadway and crossing surface is as smooth as practicable.

(4) Standards for surface maintenance and repair. Crossing surfaces must be convenient and safe for passage. Some factors in determining compliance with this general standard are:

(a) Whether crossing surfaces and the adjacent roadways are level with the top of the rails on the plane created by each set of tracks.

(b) Whether crossing surfaces are broken or loose.

(d) The existence of curled or rolled asphalt.

(e) Whether traffic generally slows to traverse the crossing.

(f) Citizen complaints.

(5) Notice. Notice requirements for highway authorities and railroad companies when performing maintenance on a crossing surface are located in WAC 480-62-305 (4) and (5).

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-225, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-230 Traffic control devices.

(1) Whenever a railroad company performs any construction, maintenance or repairs at a grade crossing or grade separated crossing, the company must install and maintain traffic control devices adequate to protect the public and railroad employees as prescribed in the Manual on Uniform Traffic Control Devices (MUTCD), Part 8, Traffic Control for Railroad and Light Rail Transit Grade Crossings, as published by the United States Department of Transportation. In addition, railroads must maintain all crossings with proper traffic control devices as prescribed in the MUTCD, Part 8. The commission adopts, by reference, the MUTCD, Part 8, as described in WAC 480-62-999. Flaggers must also be provided where necessary to adequately protect the public and railroad employees.

(2) Any traffic control device must be used only as long as the device is needed or applicable. Any device that is no longer needed or applicable must be immediately removed or inactivated so as to prevent confusion.

(3) All barricades, signs, and similar devices must be constructed and installed in a workmanlike manner.

(4) Bushes, weeds, or any other material or object must not be allowed to obscure any traffic control devices.

(5) All signs, barricades, and other control devices intended for use during hours of darkness must be adequately illuminated or reflectorized, with precautions taken to protect motorists from glare.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-62-230, filed 1/25/11, effective 2/25/11. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-230, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-235 Flaggers.

(1) The rules in this section apply whenever a railroad company engages in the maintenance, repair, or construction of a grade crossing or grade separated crossing; however, they do not apply when flaggers are provided only because of a crossing signal malfunction or only because of inspections or repairs to a crossing signal system. The latter circumstances are covered by 49 C.F.R., Part 234. In addition, 49 C.F.R. Part 234.5 recommends that railroad companies follow the requirements of Part VI of the Federal Highway Administration's Manual on Uniform Traffic Control Devices (MUTCD) to the extent possible. The commission further recommends that railroads also abide by the following rules to the extent possible in situations covered by 49 C.F.R. Part 234.

(2) Except as otherwise required in this section, traffic control devices, signs, barricades, and signaling methods must be set up in accordance with the provisions of the Manual on Uniform Traffic Control Devices (MUTCD). The commission adopts, by reference, specific portions of the MUTCD, as follows:

(a) Chapter 8A.13, Temporary Traffic Control Zones;

(b) Chapter 6A.01, General;

(d) Chapter 6C, Pedestrian and Worker Safety;

(e) Chapter 6D, Flagger Control;

(f) Chapter 6N.17, Work in the Vicinity of a Grade Crossing.

(3) Flaggers are to be used only when other reasonable means of control will not adequately control traffic in work zones. It may be reasonable in some cases to close the road on which the crossing is located, but only if agreed to by the public authority responsible for the roadway.

(4) Standards for high-visibility safety apparel.

(a) While flagging during daylight hours, a flagger must, at a minimum, wear:

A high-visibility safety garment designed according to Class 2 specifications in ANSI/ISEA 207-2020, American National Standard for High-Visibility Public Safety Vests; and
A high-visibility hard hat.

(b) While flagging at night, a flagger must, at a minimum, wear:

A high-visibility safety garment designed according to Class 2 specifications in ANSI/ISEA 207-2020 over white coveralls, or other coveralls or trousers designed according to ANSI/ISEA 207-2020 standards; and
A high-visibility hard hat.

(c) While flagging during inclement weather, yellow rain gear, white rain gear, or rain gear designed according to ANSI/ISEA 207-2020 may be substituted for white coveralls.

(5) Railroad companies must develop and use a method to ensure that whenever there is any potential hazard associated with motor vehicles, construction equipment, or on-track equipment, that flaggers have adequate warning of objects approaching from behind the flagger.

| Note: | The following are some nonmandatory examples of methods that may be used to adequately warn flaggers: | | --- | --- | | | - Mount a mirror on the flagger's hard hat; | | | - Use a motion detector with audible warning; or | | | - Use a spotter. |

(6)(a) Railroad companies must conduct an on-site safety briefing for flaggers each time a flagger reports for duty, and also when job site conditions change significantly. The briefing must include applicable portions of the traffic control plan and any changes applicable during the flagger's shift. If not covered in the traffic control plan, the briefing must also include:

The flagger's role and location at the job site;
Motor vehicles and equipment in operation at the site;
Job site traffic patterns;
Communications and signals to be used between flaggers and equipment operators;
Expected train and other on-track equipment movements;
On-foot escape route; and
Other hazards specific to the job site.

(b) When flaggers are used on a job site at a roadway allowing speeds of 45 mph or more and the job will last more than one day, the railroad company must keep on the site a current site-specific traffic control plan. The purpose of this plan is to help move traffic through or around the construction zone in a way that protects the safety of the traveling public, pedestrians and workers. The plan must include, but is not limited to, such items as:

Sign use and placement;
Application and removal of pavement markings;
Construction;
Scheduling;
Methods and devices for delineation and channelization;
Placement and maintenance of devices;
Placement of flaggers;
Roadway lighting;
Traffic regulations; and
Surveillance and inspection.

(7)(a) Where flaggers are used on roads allowing speeds of at least 45 mph, the railroad company must provide an additional warning sign marked "be prepared to stop."

(b) This sign is in addition to those required by Part VI of the Manual on Uniform Traffic Control Devices. It should be placed between the last two warning signs in the series or on the opposite side of the road when used on undivided roads.

(d) The purpose of this additional sign is to clearly point out that a flagger will be encountered and the driver should be prepared to stop.

(8) To protect flaggers, railroad companies must ensure that:

(a) Flagger workstations are illuminated at night and during inclement weather by floodlights. It is important to adequately illuminate the workstation without creating glare in the eyes of approaching drivers. The adequacy and proper placement of floodlights can best be determined by driving through and observing the workstation from each direction on the roadway.

(b) Warning signs reflect the actual condition of the work zone. When not in use, warning signs should either be taken down or covered.

(d) Flaggers do not use devices (e.g., cell phones, pagers, or radio headphones) that may distract the vision, hearing, or attention of the flagger. Devices such as two-way radios used for communication between flaggers to direct traffic or ensure flagger safety are acceptable.

(e) Flaggers receive appropriate breaks from flagging so they can remain attentive and alert.

(9) Unless an emergency makes it impossible, before performing any work, railroad companies must coordinate all repair, maintenance, and construction work with the governing authority responsible for the road on which the crossing exists.

(10) Information about Title 49 C.F.R., the Manual on Uniform Traffic Control Devices, and ANSI/ISEA 207-2020 regarding the versions adopted and where to obtain them is set out in WAC 480-62-999.

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-62-235, filed 6/18/24, effective 7/19/24
WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-62-235, filed 1/25/11, effective 2/25/11
WSR 10-03-044 (Docket A-091124, General Order R-557), § 480-62-235, filed 1/14/10, effective 2/14/10. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-235, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-240 Railroad owned or operated passenger carrying vehicles—Equipment.

(1) Equipment requirements for all vehicles.

(a) Vehicles must comply with all applicable equipment requirements of Title 46 RCW.

(b) Vehicles must have exhaust systems that prevent exposure of passengers to the vehicle's emissions.

(c) Vehicles must have two external rear vision mirrors, one at each side of the cab. The mirrors must be firmly attached to the motor vehicle at a point where the driver is provided a view of the highway to the rear along both sides of the vehicle. An outside mirror may be placed only on the driver's side on vehicles in which the driver has a view to the rear by means of an interior mirror.

(d) Vehicles must be equipped with a steering system maintained to ensure that lash or preplay do not exceed those values set forth in 49 C.F.R., Parts 570.7 and 570.60 (Vehicle in Use Inspection Standards). Information about Title 49 C.F.R. regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(e) Vehicles must have a heating system that will maintain an ambient temperature of at least fifty-five degrees in passenger areas.

(f) Vehicles must have at least three red-burning fusees, three red portable emergency reflectors, or at least two red cloth flags suitable for warning the motoring public in an emergency. The driver must ensure that such equipment is in the vehicle and is maintained in good condition. Any devices that may create a spark or open flame must be carried in a separate compartment or a closed metal container provided for that purpose.

(g) Prior to operating a vehicle, the driver must determine whether such equipment is in the vehicle and is maintained in good condition.

(h) Any devices that may create a spark or open flame must be carried in a separate compartment or a closed metal container provided for that purpose.

(i) Vehicles must have a two and one-half pound dry chemical fire extinguisher or its equivalent, properly filled and located where it is readily accessible for use. The extinguisher must allow visual determination of the state of its charge at all times. The extinguishing agent must be nontoxic and noncorrosive. The fire extinguisher must be suitable for attachment to the motor vehicle, bear the label of approval by the Underwriters Laboratories, Inc., and be kept in good working condition at all times.

(j) Vehicles must have a first-aid kit located where it is readily accessible. The kit must contain all of the items specified in ANSI Z308.1-2009, Minimum Requirements for Workplace First Aid Kits. Additionally, the kit must contain gloves capable of preventing exposure to bloodborne pathogens. Items used from first-aid kits must be replaced before the next shift, and kits must be checked for compliance with this rule if the seal on the kit is broken. Information about ANSI Z308.1-2009 regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(2) Equipment requirements for specified vehicles.

(a) Coupling devices used on a vehicle equipped with retractable flange wheels for operation on railroad tracks must be substantial and made of metal. The devices must be equipped with safety chains or straps of sufficient strength to prevent separation in the event of accidental uncoupling.

(b) A passenger compartment separate from the cab of the vehicle must be made of metal and be fastened directly to the frame of the vehicle. The compartment must have an interior lining sufficient to absorb condensation, and padded seats and backrests firmly secured in place. The floor of the compartment must be constructed to bear the weight of all cargo and passengers. The floor must not have unnecessary openings, and it must be constructed to prevent the entry of noxious fumes or permeation with flammable materials. The compartment must have a curtain of nonpermeable material of sufficient weight and size to close off the rear opening and a tailgate that must be closed whenever the vehicle is in motion. If the bottom of the entrance to the passenger compartment is more than three feet six inches above ground level, the vehicle must have permanent or temporary steps designed for the safe boarding and discharge of passengers.

(c) Communication between a cab and a separated passenger compartment must be provided by means of a light or audible device mounted in the cab of the vehicle that may be activated by a passenger in the rear compartment.

(d) On vehicles designed to transport nine or more passengers, an emergency exit must be placed at the end of the vehicle opposite the regular entrance. The exit must be at least six and one-half square feet in area, and the smallest dimension must be at least eighteen inches. The route to and from the emergency exit must be unobstructed at all times.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-240, filed 4/18/18, effective 5/19/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 10-03-044 (Docket A-091124, General Order R-557), § 480-62-240, filed 1/14/10, effective 2/14/10
WSR 02-18-033 (Docket No. A-020379, General Order No. R-501), § 480-62-240, filed 8/26/02, effective 9/26/02. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-240, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-245 Railroad owned or operated passenger carrying vehicles—Operation.

(1) General.

(a) All passenger carrying motor vehicles must be operated in compliance with state law no matter where the vehicle is operated.

(b) Drivers must operate vehicles in a careful and prudent manner and at reasonable and proper speeds, with due regard to circumstances and to the use of highways by others.

(2) Minimum age, skill, and physical condition of drivers.

(a) Drivers of passenger carrying vehicles must be at least 18 years old.

(b) Before being allowed to drive or operate a passenger carrying vehicle, drivers must have demonstrated the physical capability of handling the controls of the vehicle with ease.

(c) Before driving a vehicle, drivers or operators must obtain either a valid Washington state driver's license or a valid license from the state of the driver's residence. The driver must carry the license at all times while operating a vehicle. If the passenger carrying vehicle is a type for which the state of Washington requires an extraordinary license or endorsement, the driver must have such license or endorsement.

(3) Driver's daily hours of service. No driver of any passenger carrying vehicle may drive for more than 10 hours without resting afterward for a minimum of eight consecutive hours.

(4) Refueling. No driver or any employee of a railroad company operating within the state may:

(a) Fuel a passenger carrying vehicle with the engine running;

(b) Smoke or expose any flame in the vicinity of a vehicle being fueled;

(c) Fuel a passenger carrying vehicle unless the nozzle of the fuel hose is continuously in contact with the intake pipe of the fuel tank;

(d) Insofar as practicable, permit any other person to engage in activities that might result in a fire or explosion;

(e) Except on buses, all occupants of the vehicle, except the driver and those within the operating cab, must dismount and stand clear while the vehicle is being refueled.

(5) Driving rules.

(a) Drivers must bring vehicles to a complete stop not less than 15 feet from the nearest rail of any at-grade crossing before crossing the track except:

(i) Where traffic is controlled by a police officer or a duly authorized flagger;

(ii) Where traffic is regulated by a traffic control signal;

(iii) Where traffic is controlled by crossing gate arms or an alternately flashing light signal intended to give warning of the approach of a train; or

(iv) Where an official traffic control device as designated by the commission pursuant to RCW 81.53.060 (i.e., an "exempt" sign, specified as R15-3P by the Manual on Uniform Traffic Control Devices) gives notice that the stopping requirement imposed by this section does not apply. Information about the Manual on Uniform Traffic Control Devices regarding the version adopted and where to obtain it is set out in WAC 480-62-999.

(b) Drivers must not change gears while crossing any railroad tracks.

(c) No driver may consume alcohol or ingest any controlled substance while on duty, or drive while affected by the use of intoxicating liquor or other substance that might impair the ability to drive.

(d) No driver may proceed down a grade with the gears in neutral or the clutch disengaged.

(e) At the beginning of his or her use of a vehicle, the driver must perform a brake test immediately before, and immediately after, the vehicle begins moving to ensure that the brakes are functioning properly.

(6) Loading and carrying of passengers.

(a) Drivers are in charge of the vehicle and must require passengers to observe vehicle rules.

(b) Passengers may not enter or exit from the vehicle while it is in motion, or ride on running boards, fenders, bumpers, tops of cabs, or with any part of their body projecting beyond the sides or the ends of the vehicle.

(7) Carrying equipment or tools.

(a) When equipment or tools are carried inside the vehicle, they must be stored in enclosed racks or boxes that are secured to the vehicle in a manner that prevents employees from being struck in the event of sudden starts, stops, or turns.

(b) All tools and equipment, including cylinders, containers, or drums must be properly secured so they will not interfere with the use of any exit.

(8) Limitation on transportation of explosives, gasoline, and other hazardous materials on passenger carrying vehicles.

(a) Explosives other than track torpedoes and fusees may not be carried in or on any vehicle while the vehicle is being used to transport crew members in a passenger compartment.

(b) If track torpedoes or fusees are carried in a passenger carrying vehicle, they must be carried in a separate compartment or container provided for that purpose.

(c) Gasoline, or other hazardous materials, must not be carried in either the cab or in the passenger compartment; however, oxygen or acetylene cylinders may be carried if gauges and regulators have been removed with caps in place before loading.

(d) Passenger carrying vehicles may be used to carry flammable materials when they are located outside of and isolated from the passenger carrying area, and are stored in containers approved by the Underwriters Laboratories, Inc. Containers for fuel must be vented in a manner that prevents the hazardous concentration of fumes.

(e) A passenger carrying vehicle containing hazardous materials must not be parked within 300 feet of an open fire.

(f) Smoking is prohibited within 50 feet of a vehicle carrying explosive or flammable materials.

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-62-245, filed 6/18/24, effective 7/19/24
WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-245, filed 4/18/18, effective 5/19/18. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-245, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-250 On-track equipment.

(1) When approaching and passing over a railroad-highway grade crossing, operators of motor track cars, speeders, or other on track equipment must remain in complete control of the equipment, be prepared to stop for vehicular or pedestrian traffic on the highway, stop if necessary to avoid an accident, and provide effective warning for vehicular or pedestrian traffic at the crossing.

(2) Railroad companies that allow persons other than railroad personnel on official railroad business to operate motor track cars, speeders, or other on track equipment on their track must ensure that the operators comply with subsection (1) of this section.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-250, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-255 Minimum crew size on certain trains.

(1) For the purpose of this section, unless the language or context indicates that a different meaning is clearly intended, the following definitions apply:

"Class I" means a railroad carrier designated as a class I railroad by the United States surface transportation board and its subsidiaries or is owned and operated by entities whose combined total railroad operational ownership and controlling interest meets the United States surface transportation board designation as a class I railroad carrier.

"Class III" means a railroad carrier designated as a class III railroad by the United States surface transportation board.

"Crewmember" has the same meaning as "operating craft employee" as defined in this section.

"Operating craft employee" means a person employed by a railroad carrier and identified as train or yard crew as defined in 49 C.F.R. Part 218.5.

"Other railroad carrier" means a railroad carrier that is not a class I carrier.

"Railroad carrier" means a carrier of persons or property upon vehicles, other than streetcars, operated upon stationary rails, the route of which is principally outside incorporated cities and towns. "Railroad carrier" includes any officers and agents of the railroad carrier.

(2) Any person, corporation, company, or officer of the court operating any railroad, railway, or any part of any railroad or railway, in the state as a common carrier of freight or passengers shall operate and manage all trains and switching assignments over its road with no less than two crewmembers.

(3) The minimum crew size requirement of subsection (2) of this section does not apply to:

(a) Class III railroad carriers operating on their roads while at a speed of 25 miles per hour or less; or

(b) Other railroad carriers in possession of an effective automatic waiver issued under subsection (4) of this section.

(4) Other railroad carriers operating in the state on or after June 11, 2020, receive an automatic waiver of the minimum train crew size requirements of subsection (2) of this section that shall remain in effect until the commission terminates the effectiveness of such a waiver by order.

(5) The commission may order railroad carriers to increase the number of railroad employees, to require additional crewmembers, or direct the placement of additional crewmembers if the commission determines that the increase is necessary to protect the safety, health, and welfare of the public, passengers, or railroad employees, to prevent harm to the environment or to address site specific safety or security hazards. In issuing any order to increase the number of railroad employees, the commission may consider, but is not limited to, the factors found in RCW 81.40.025 (4)(b).

(6) Any railroad carrier in violation of this section may be subject to fines of not less than $1,000 and not more than $100,000 for each offense, as determined by the commission through order. In the event of a serious injury or fatality the commission may impose fines exceeding $100,000 per offense.

History

Statutory Authority: RCW 80.01.040, 81.01.010, 81.04.160, 81.40.015(1), 81.40.025 (4)(a), and chapter 81.40 RCW. WSR 22-24-021 (Docket TR-200536, General Order R-606), § 480-62-255, filed 11/30/22, effective 12/31/22.

Wash. Admin. Code § 480-62-260 First-class cities opt-in.

(1) Participation in the commission's rail safety program. RCW 81.53.240 allows a first-class city to request participation in the commission's crossing safety inspection program. For the purposes of this section, the commission's crossing safety inspection program shall mean the inspection of grade crossings to ensure proper design and maintenance, as set forth in WAC 480-62-225. For the purposes of this section participation in the crossing safety inspection program shall not include the crossing petition process outlined in RCW 81.53.030 and 81.53.060.

(2) Process for opt-in. A first-class city must notify the commission of its intent to opt-in to the commission's rail safety program at least sixty days prior to the effective date requested by the city. A first-class city's request to opt-in must be accompanied by documentation demonstrating that the city's governing body has approved the terms and conditions set forth in a memorandum of understanding between the city and the commission governing the commission's assumption of rail crossing safety inspection authority within the city limits. A first-class city's request to opt-in will become effective on the date requested by the city or the first day of the month following commission approval of the memorandum of understanding referenced in this section, whichever occurs later.

(3) Technical assistance to first-class cities. For first-class cities that opt-in to the commission's crossing safety inspection program, the commission will provide technical assistance on grade crossing safety, maintenance, and modifications as agreed between the city and the commission.

(4) Process to opt-out. First-class cities that opt-in to the commission's crossing safety inspection program may opt-out of the program by submitting to the commission documentation that the city's governing body has approved the withdrawal of the city from the commission's crossing safety inspection program. A city's notice of withdrawal must be submitted to the commission at least ninety days prior to the date upon which the city intends to assume all rail crossing safety inspections within its jurisdiction.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.24.010, 81.53.010, 81.53.240, and chapter 81.44 RCW. WSR 16-05-032 (Docket TR-151079, General Order R-584), § 480-62-260, filed 2/9/16, effective 3/11/16.

Wash. Admin. Code § 480-62-270 Safety standards at private crossings.

(1) For the purposes of this section, the term "private crossings" has the same meaning as in RCW 81.53.010(8).

(2) At every private crossing through which any amount of crude oil is transported, the railroad must ensure that the following are installed on each side of the crossing within one hundred twenty days after this rule becomes effective:

(a) A thirty-inch or larger R1-1 stop sign, defined as a standard R1-1 in the Manual on Uniform Traffic Control Devices;

(b) An emergency notification system (ENS) sign that:

(i) Displays the necessary information for the dispatching railroad to receive reports of unsafe conditions at the crossing including, at a minimum:

(A) The toll-free telephone number of the railroad company established to receive reports;

(B) An explanation of the purpose of the sign (e.g., "Report emergency or problem to __"); and

(ii) Measures at least twelve inches wide by nine inches high;

(iii) Is retroreflective;

(iv) Has legible text (i.e., letters and numerals) with a minimum character height of one inch; and

(v) Has white text set on a blue background with a white border, except that the USDOT National Crossing Inventory number may be black text set on a white rectangular background.

(c) A rectangular sign, at least three hundred square inches (twenty thousand square centimeters) in size, with the legend "Private Crossing" and the crossbuck symbol.

(3) All signs must have retroreflective tape applied to the sign posts.

(4) If the commission finds, after investigation, that a restricted sight distance, unfavorable roadway or crossing configuration, or other hazard exists at a private crossing, the commission will notify the railroad and to the extent the commission has contact information, the landowner. The railroad must ensure that additional safety measures are installed at the crossing including, but not necessarily limited to, signs authorized in the Manual on Uniform Traffic Control Devices, within one hundred twenty days of receiving notification of the hazard from commission staff.

(5) At private crossings where crude oil is transported, the commission will conduct inspections giving priority to private crossings with a high frequency of oil trains, in industrial areas, and high population centers.

(6) Nothing in this section modifies existing agreements between the railroad company and the landowner governing liability or cost allocation at the private crossing.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.24.010, 81.53.010, 81.53.240, and chapter 81.44 RCW. WSR 16-05-032 (Docket TR-151079, General Order R-584), § 480-62-270, filed 2/9/16, effective 3/11/16.

Wash. Admin. Code § 480-62-275 Contract crew transportation registration and permit required.

(1) A person must register with, and receive a permit from, the commission before operating as a contract crew transportation company in the state of Washington.

(2) The company name is the name of the permit holder.

(a) A company electing to conduct operations under a trade name must first register the trade name with the commission.

(b) A company must conduct all operations under the company name, a registered trade name, or both.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-275, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-278 Contract crew transportation vehicle and driver safety requirements.

(1) Every contract crew transportation company must operate its vehicles in compliance with state law, no matter where the vehicle is operated. Drivers must operate vehicles in a careful and prudent manner, at reasonable and proper speeds, with due regard to circumstances or conditions at the time of operation.

(2) Companies must comply with the parts of 49 C.F.R. adopted by reference that are shown in the chart in subsection (4) of this section. Information about 49 C.F.R. including the version adopted by the commission and where to obtain copies is set out in WAC 480-62-999.

(3) The commission will place out-of-service any motor vehicle having safety defects identified in the North American Uniform Out-Of-Service Criteria. Information about the North American Uniform Out-Of-Service Criteria including the version adopted and where to obtain copies is set out in WAC 480-62-999. A company must not operate any vehicle placed out-of-service until proper repairs have been completed.

(4) The commission will place out-of-service any driver meeting criteria identified in the North American Uniform Out-Of-Service Criteria. A company must not allow a driver who has been placed out-of-service to operate a motor vehicle until the conditions causing the driver to be placed out-of-service have been corrected.

| 49 C.F.R. Part: | Notes: | | | --- | --- | --- | | Part 379 - | Preservation of Records | Entire Part 379 is adopted and applies to Washington intrastate operations. | | Part 385 - | Safety Fitness Procedures | Entire Part 385 is adopted and applies to Washington intrastate operations. | | Part 390 - | Safety Regulations, General | Entire Part 390 is adopted and applies to Washington intrastate operations, with the following exceptions: | | | | (1) The terms "motor vehicle," "commercial motor vehicle," and "private vehicle" are not adopted. Instead, where those terms are used in Title 49 C.F.R., they have the meanings assigned to "contract crew transportation vehicle" in WAC 480-62-125 (Definitions). | | | | (2) Whenever the term "director" is used in Title 49 C.F.R., it means the commission. | | Part 391 - | Qualification of Drivers | Entire Part 391 is adopted, with the following exceptions: | | | | (1) Part 391.49 (alternative physical qualification standards for the loss or impairment of limbs) is not adopted for drivers who operate vehicles exclusively in intrastate commerce. Instead refer to WAC 480-62-281 for intrastate medical waivers. | | Part 392 - | Driving of Motor Vehicles | Entire Part 392 is adopted and applies to Washington intrastate operations. | | Part 393 - | Parts and Accessories Necessary for Safe Operation | Entire Part 393 is adopted and applies to Washington intrastate operations. | | Part 395 - | Hours of Service of Drivers | Entire Part 395 is adopted and applies to Washington intrastate operations. | | Part 396 - | Inspection, Repair, and Maintenance | Entire Part 396 is adopted and applies to Washington intrastate operations. | | Part 397 - | Transportation of Hazardous Materials, Driving and Parking Rules | Entire Part 397 is adopted and applies to Washington intrastate operations. |

(5) Companies operating a contract crew transportation vehicle must:

(a) Comply with all state and local laws and rules governing licensing, vehicle safety, and driver safety.

(b) Maintain all motor vehicles in a safe and sanitary condition.

(6) Persons who drive for companies operating a contract crew transportation vehicle must be immediately and automatically disqualified from operating a contract crew transportation vehicle for a period of three years if:

(a) The person is convicted of, or is found to have committed, two or more traffic violations that result in suspension or revocation of the person's driver's license within a three-year period for a reason other than failure to pay fines.

(b) The person is convicted of, or is found to have committed, any of the following offenses:

(i) Any drug or alcohol-related traffic offense.

(ii) Using a vehicle to commit a felony.

(iii) Leaving the scene of an accident.

(iv) Prohibited passing of another vehicle.

(v) A railroad-highway grade crossing offense identified in RCW 46.25.090(8).

(vi) Driving with a suspended, revoked, or canceled license.

(7) Persons who drive for companies operating a contract crew transportation vehicle that sustain a conviction or traffic violation as outlined in subsection (5) of this section, must report the conviction or infraction to the company within ten days of the date of the conviction or infraction.

(8) No company operating a contract crew transportation vehicle, its agents, officers, or employees, will allow any article, commodity, or substance to be loaded in or on any vehicle used by the company to transport passengers that is:

(a) Dangerous to the lives and safety of passengers.

(b) Prohibited by the hazardous materials rules in Title 49 C.F.R. from being transported on passenger-carrying vehicles.

(9) No company operating a contract crew transportation vehicle may carry more passengers than the vehicle was originally manufactured to carry.

(10) All vehicles operated under the provisions of this chapter are at all times subject to inspection by the commission or its duly authorized representatives.

(11) All contract crew transportation companies must implement a controlled substance and alcohol testing program to include:

(a) Preemployment testing: A preemployment controlled substance and alcohol test must be administered prior to a driver performing a safety-sensitive function.

(b) Postaccident testing.

(i) An alcohol test must be administered as soon as practicable but no longer than eight hours following an accident where the accident involved the loss of human life, a driver receives a citation for a moving traffic violation arising from the accident if the accident involved bodily injury to any person who, as a result of the injury immediately receives medical treatment away from the scene of the accident or one or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle.

(ii) A controlled substance test must be administered within thirty-two hours following an accident where the accident involved the loss of human life, a driver receives a citation for a moving traffic violation arising from the accident if the accident involved bodily injury to any person who, as a result of the injury immediately receives medical treatment away from the scene of the accident or one or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle.

(i) Every driver shall submit to random alcohol and controlled substance testing.

(ii) The minimum annual percentage rate for random alcohol testing shall be ten percent of the average number of driver positions.

(iii) The minimum annual percentage rate for random controlled substances testing shall be twenty-five percent of the average number of driver positions.

(d) Reasonable suspicion testing.

(i) All persons designated to supervise drivers shall receive at least sixty minutes of training on alcohol misuse and receive at least an additional sixty minutes of training on controlled substances use.

(ii) The training will be used by supervisors to determine whether reasonable suspicion exists to require a driver to undergo testing. The training shall include the physical, behavioral, speech, and performance indicators of probable alcohol misuse and use of controlled substances.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-278, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-281 Contract crew transportation intrastate medical waivers.

(1) Department of licensing intrastate medical waiver. A contract crew transportation company may use a driver that is not physically qualified to drive a commercial motor vehicle under 49 C.F.R. Part 391.41, if the driver:

(a) Only operates motor vehicles intrastate, wholly within the state of Washington; and

(b) Has obtained from the Washington state department of licensing an intrastate medical waiver to drive a commercial motor vehicle.

For the purposes of a department of licensing medical waiver, a commercial motor vehicle means a motor vehicle:

(i) With a gross vehicle weight rating over 26,000 lbs.;

(ii) Transporting sixteen or more passengers, including the driver; or

(iii) With a manufacturer's seating capacity of sixteen or more passengers, including the driver.

(2) Doctor's statement of intrastate medical waiver. A contract crew transportation company may use a driver that is not physically qualified to drive a commercial motor vehicle under 49 C.F.R. Part 391.41, if the driver:

(a) Holds a valid Washington state driver's license;

(b) Has received a doctor's statement that:

(i) The driver's medical condition is not likely to interfere with the driver's ability to safely operate a commercial motor vehicle; and

(ii) The doctor's opinion is that the driver's condition is likely to remain stable for the two years that the medical certificate is valid.

(i) With a gross vehicle weight rating under 26,001 lbs.;

(ii) Transporting fifteen or fewer passengers, including the driver; or

(iii) With a manufacturer's seating capacity of fifteen or fewer passengers, including the driver.

(3) Driver qualification files. A contract crew transportation company that uses a driver under an intrastate medical waiver must maintain in the driver's qualification file a copy of the doctor's statement of intrastate medical waiver.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-281, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-284 Contract crew transportation insurance requirements.

(1) Companies operating a contract crew transportation vehicle must meet the following minimum insurance requirements:

(a) Five million dollars combined single limit coverage for bodily injury and property damage liability coverage.

(b) One million dollars uninsured and underinsured motorist coverage.

(2) Insurance policies must:

(a) Be written by an insurance company authorized to write insurance in the state of Washington.

(b) Include the Uniform Motor Carrier Bodily Injury and Property Liability Endorsement (Form F).

(3) A company must file and maintain a Uniform Motor Carrier Bodily Injury Property Damage Certificate of Insurance (Form E). Form E is a standard motor carrier insurance form recognized by the insurance industry and is filed with the commission by an insurance company.

(a) The Form E must be issued in the company name exactly as it appears on the company's permit.

(b) The Form E must remain in effect until canceled by a Notice of Cancellation (Form K). The Form K must be filed with the commission by the insurance company not less than thirty days before the cancellation effective date.

(d) A company may file a Uniform Motor Carrier Bodily Injury and Property Damage Liability Surety Bond (Form G) in place of a Form E.

(4) If a company's insurance filing is canceled and a new filing is not received prior to the cancellation date, the commission may dismiss a company's application for a permit or cancel an existing permit.

(5) If a contract crew transportation company hires a driver to drive a vehicle owned by the contract crew transportation company to transport a railroad crew, the insurance requirements outlined in subsection (1) of this section, apply.

(a) The insurance requirements may be met by either the contract crew transportation company, the third party, or the railroad company.

(b) It is the responsibility of the contract crew transportation company to obtain and retain proof of insurance coverage for the third-party driver.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-284, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-287 Contract crew transportation passenger notice requirements.

Companies operating a contract crew transportation vehicle must post adequate notice in a conspicuous location in all vehicles that advises passengers of:

(1) Their right to submit a complaint to the commission regarding alleged unsafe driver or vehicle conditions.

(2) The information necessary for filing complaints, which can be found on the agency's public website.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-287, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-290 Contract crew transportation safety training.

(1) Companies providing contract crew transportation must provide at least eight hours of safety training that includes, but is not limited to:

(a) Vehicle safety awareness.

(b) Passenger safety awareness.

(d) Grade crossing safety.

(e) Load securement.

(f) Distracted driving.

(g) Fatigued driving.

(h) Familiarization with:

(i) Railroad yards, property, pick-up points and drop-off points where the driver is expected to operate the vehicle.

(ii) Any rules or requirements imposed by the railroad at the locations where the driver is expected to operate the vehicle.

(iii) General railroad safety requirements.

(iv) Grade crossing safety.

(i) The training required in subsection (h) of this section must be provided by the railroad for whom the driver will be transporting railroad crews. The railroad may contract with a third party or other designee to provide training, however, such delegation does not absolve the railroad of responsibility to ensure compliance with this section.

(2) Each company providing contract crew transportation must provide to the commission a description of its safety training program for approval prior to implementing the program at the company.

(3) Each company must require existing drivers to attend the safety training within six months of approval of the training program by the commission.

(4) If the commission finds driver safety behavior is such that refresher training is warranted, the commission may require such training.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-290, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-293 Contract crew transportation enforcement.

(1) The commission will investigate safety complaints related to contract crew transportation. Information included in safety complaints that identifies the employee who submitted the complaint is exempt from public inspection and copying pursuant to RCW 42.56.330.

(2) The commission may, in enforcing rules and orders, inspect any contract crew transportation vehicle.

Contract crew transportation companies are required to inspect, or have inspected, every vehicle as required in WAC 480-62-278 through adoption of 49 C.F.R., Part 396.

(3) The commission may take enforcement action, based on a complaint or on its own motion, as follows:

(a) Assess penalties as warranted.

(b) Suspend or revoke a permit after notice and opportunity for hearing.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-293, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-296 Contract crew transportation reporting requirements.

Companies operating a contract crew transportation vehicle must, at the request of the commission, provide data relevant to any complaints and accidents, including:

(1) Location;

(2) Time of day;

(3) Visibility;

(4) Description of the event;

(5) Any resulting property damage or personal injuries;

(6) Any corrective action taken by the railroad company, person operating the contract crew transportation vehicle, or the commission.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-296, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-299 Contract crew transportation record retention requirements.

A contract crew transportation company must keep and provide or make available to the commission on request, and within forty-eight hours, the following records for the specified time periods:

(1) All documents related to driver hours of service for a period of at least six months;

(2) Verification of each driver's qualifications for the duration of the driver's employment and for three years thereafter;

(3) All documents related to alcohol and controlled substance testing for a period of three years;

(4) All documents related to vehicle maintenance for a period of twelve months; and

(5) All documents related to any vehicle collisions or other accidents that occur for a period of at least three years from the date of the accident. Such records must include copies of all accident reports and any other documents that identify the date and geographic location of the accident, the driver name, the number of fatalities or persons injured and a description of those injuries.

History

Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-299, filed 4/18/18, effective 5/19/18.

Wash. Admin. Code § 480-62-300 Annual reports—Regulatory fees.

(1) The surface transportation board annual report form R1 must be used by Class I railroad companies in addition to the annual report form published by the commission. Class II and Class III railroad companies must use report forms periodically published by the commission.

(2) Any railroad company that transports crude oil in Washington must submit to the commission, in addition to its annual report, a statement that contains:

(a) All insurance carried by the railroad company that covers any losses resulting from a reasonable worst case spill.

(b) Coverage amounts, limitations, and other conditions of the insurance identified in (a) of this subsection.

(c) Average and largest crude oil train, as measured in barrels, operated in Washington by the railroad company in the previous calendar year.

(d) Information sufficient to demonstrate the railroad company's ability to pay the costs to clean up a reasonable worst case spill of oil as defined in (e) of this subsection including, but not necessarily limited to, insurance, reserve accounts, letters of credit, or other financial instruments or resources on which the company can rely to pay all such costs. For the purposes of this section, the railroad company must calculate the total cleanup costs for a reasonable worst case spill based on a minimum cost of sixteen thousand eight hundred dollars per barrel multiplied by the percentage of the largest train of crude oil described in (e) of this subsection.

(e) For the purposes of this section, a reasonable worst case spill for railroads shall mean the percent of the largest train load of crude oil, as measured in barrels, moved by that company in the previous calendar year, as described below:

[(Maximum Operating Speed/65)2 = Reasonable Worst Case Percent]

(f) For the purposes of this section, maximum operating speed shall mean the top speed that the railroad company operates any train carrying crude oil in the state.

(3) Each year every railroad company is responsible for obtaining the proper report form from the commission. Reports must be completed for the preceding calendar year's operations. One copy of the completed annual report, along with the regulatory fee, must be submitted to the commission no later than May 1st of each year.

(4) Regulatory fees. The railroad company regulatory fee for Class I railroads and companies that haul crude oil is set by statute at two and one-half percent of gross intrastate operating revenue. The regulatory fee for all other railroad companies shall be set at one and one-half percent of gross intrastate operating revenue.

(a) The maximum regulatory fee is assessed each year, unless the commission issues an order establishing the regulatory fee at an amount less than the statutory maximum.

(b) The minimum regulatory fee that a railroad company must pay is twenty dollars.

(c) The twenty dollar minimum regulatory fee is waived for any railroad company with less than one thousand three hundred dollars in gross intrastate operating revenue.

(d) The commission does not grant extensions for payment of regulatory fees.

(e) If a company does not pay its regulatory fee by May 1st, the commission will assess an automatic late fee of two percent of the amount due, plus one percent interest for each month the fee remains unpaid.

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

Wash. Admin. Code § 480-62-305 Railroad community notice requirements.

This rule is not intended to cover immediate safety hazards or emergencies.

(1) At least ten days prior to taking any planned action that may have a significant impact on a community, railroad companies must notify, in writing, the governing authority of the community and the commission of the planned action.

| Note: | Maintenance practices, such as replacing broken planks if the opportunity to do so is unexpectedly presented, are not considered to be planned actions and would likely prevent safety hazards. In such situations, advance notice would not be required. | | --- | --- |

(2) Examples of actions that may have significant impact on a community include disrupting the use of a crossing for track inspection, reconstruction, maintenance, or blocking a crossing.

(3) The notice must contain a heading with the words "important notice" in prominent type and contain, at a minimum, the following:

(a) Date the notice is issued;

(b) A clear explanation of the type of planned event;

(d) An estimation of the start and completion date of the event;

(e) Any additional information that will assist the community to plan for the event;

(f) Railroad company contact person and phone number; and

(g) A statement substantially as follows: "If you have questions about the regulatory process, you may contact the Washington Utilities and Transportation Commission at: WUTC, 621 Woodland Square Loop S.E., Lacey, WA 98503 or P.O. Box 47250, Olympia, WA 98504-7250; 360-664-1262. Also, you may contact the Federal Railroad Administration at 1- 800-724-5998 (toll-free)."

(4) Whenever a highway authority plans to perform maintenance that will affect a crossing, it must notify the railroad company and local jurisdiction at least ten days before performing the maintenance.

(5) Whenever a railroad company plans to perform maintenance that involves changing the type of material used as a grade crossing surface, it must also notify the commission at least ten days prior to performing the replacement.

History

Statutory Authority: RCW 80.10.040 [80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 22-15-104, § 480-62-305, filed 7/19/22, effective 8/19/22. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-305, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-310 Accident reports.

(1) A railroad company must make a telephone report to the commission's designee, the Washington state emergency operations center's twenty-four-hour duty officer (duty officer) at 1- 800-258-5990 of any event connected to the operation of the railroad company that results in the:

(a) Release of any hazardous material (i.e., materials that are corrosive, flammable, explosive, reactive with other materials, or toxic);

(b) Death of any person;

(c) Injury to any person involved in a railroad-highway crossing accident that requires medical treatment in addition to first aid; or

(d) Property damage, amounting to fifty thousand dollars or more to property.

(2)(a) Telephone reports of events listed in subsection (1) of this section must be made by the railroad company within thirty minutes of when it learned of the event. The report must provide detailed information of the event to the duty officer. After receiving the telephone report from the railroad company, the duty officer will identify the necessary critical response and remediation resources and agencies on an initial and continuous basis through the completion of the response to the event; and

(b) The duty officer will notify the commission, the affected county or city emergency management office and other appropriate agencies of the event report.

(c) Provisions contained in (a) and (b) of this subsection must be carried out in accordance with the state's twenty-four hour duty officer standard procedures and the Washington Emergency Management Act, chapter 38.52 RCW.

(3) Each event report made under subsection (1) of this section by a railroad company must state, to the extent known, the:

(a) Name of the railroad(s) involved;

(b) Name and position of the reporting individual;

(d) Circumstances of the event;

(e) Number and identity of persons suffering injuries;

(f) Number of fatalities and the identities of the deceased;

(g) The type and amount of hazardous material spilled; and

(h) Other details that will assist in identifying the necessary response, as prompted by the duty officer.

(4) Accidents involving joint railroad company operations must be reported by the railroad company that controls the track and directs the movement of trains where the accident has occurred.

(5) Whenever a railroad company submits an event report to the Federal Railroad Administration, it must submit a copy to the commission at the same time.

(6) Whenever a railroad submits a report to the United States Department of Transportation concerning a hazardous materials incident or accident, it must submit a copy of the report to the commission at the same time.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-310, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-315 Miscellaneous reporting requirements.

(1) Within thirty days of a request from the commission, every railroad company must report to the commission on the sales, transfers or abandonments of all trackage which crosses a public road. The report must contain a description of the transaction, clear identification of the track involved in the transaction, the effective date of the transaction, and the name and address of the last known owner(s) or operator(s) of the section transferred.

(2) Upon request, every railroad company and railroad company official must report to the commission the information then available to it regarding the average number of daytime through trains, nighttime through trains, and switching movements over specific grade crossings in its control. Reports must identify each crossing by USDOT number and road name.

(3) Upon request, every railroad company must inform the commission in writing of the names, addresses, and telephone numbers of the persons to whom to report emergencies of any nature, and problems or defects with crossing signals, passive warning devices, and crossing surfaces. The information must be current at all times.

(4) Upon request, every railroad company must provide the commission with access to or copies of track profiles. This requirement may be satisfied by allowing electronic access to track profiles.

(5) Upon request, every railroad company must provide the commission with access to or copies of its timetable. This requirement may be satisfied by allowing electronic access to the timetables.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-315, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-320 Remote controlled operations.

(1) Railroad companies, including logging and industrial railroad companies, must report to the commission their intention to create or enlarge a remote-control area at least thirty days before remote-control operations begin. Reports must include:

(a) The name of the railroad company;

(b) The approximate date when remote-control operations will start; and

(c) The location of remote-control operations. Railroads should provide sufficient information to allow the commission to determine what road crossings at grade are included within the remote-control area.

(2) Railroad companies must report to the commission their intention to create or enlarge a remote-control zone at least thirty days before remote-control operations begin. Reports must include:

(a) The name of the railroad company;

(b) The approximate date when remote-control operations will start; and

(3) Railroads must report to the commission their intention to use cameras for point protection at crossings at least thirty days prior to the intended implementation date.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 04-11-023 (Docket No. TR-021465, General Order No. R-514), § 480-62-320, filed 5/11/04, effective 6/11/04. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-320, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-325 Railroad police officers—Notice.

(1) Every railroad company that has employees who are commissioned as railroad police officers pursuant to chapter 81.60 RCW must send written notice to the commission within thirty days after the effective date of these rules.

(2) When any person is commissioned as a railroad police officer, an officer's commission is terminated, or a change occurs in the information previously reported under subsection (3) of this section, the affected railroad company must send written notice to the commission within ten days after the change occurs.

(3) The notices specified in subsections (1) and (2) of this section must contain the following information:

(a) The name of the railroad police officer;

(b) The badge number, identification number, code or other identifying information assigned to the railroad police officer;

(d) The state or states where the railroad police officer is commissioned; and

(e) The address and telephone number of the officer's primary business office.

History

Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-325, filed 1/30/01, effective 3/2/01.

Wash. Admin. Code § 480-62-400 Purpose.

(1) As authorized by chapter 81.53 RCW, this chapter prescribes the manner in which a public, private or nonprofit entity may apply to the commission for grants from the grade crossing protective fund, and to prescribe a program for the award of such grants.

(2) Grade crossing protective fund grants are to fund projects that:

(a) Reduce accident frequency and severity at either public and private railroad crossings; or

(b) Reduce pedestrian, trespassing, and motorist injuries and deaths on railroad rights of way at places other than crossings.

History

Statutory Authority: RCW 80.01.040(4), 80.04.160, and 80.40.320. WSR 06-05-018 (Docket No. TR-051060, General Order No. R-527), § 480-62-400, filed 2/6/06, effective 3/9/06.

Wash. Admin. Code § 480-62-405 Applications.

(1) Any public, private or nonprofit entity may submit an application to the commission for a grant from the grade crossing protective fund. The commission will consider applications that propose projects that are within one of the following categories:

(a) Grade crossing signals or other warning devices at public crossings. This category includes safety improvement projects at public crossings under RCW 81.53.261 and 81.53.295.

(b) Trespass prevention and motorist safety projects. This category includes, but is not limited to, fencing or other physical barriers; warning devices; channeling devices; public information efforts; and enforcement-related activities.

(c) Private crossing safety improvements. This category includes, but is not limited to, crossing closures or consolidations; signals or warning devices; nighttime and off-hours locked gates; and making existing warning devices more noticeable.

(d) Miscellaneous safety projects. This category includes other projects within the scope of WAC 480-62-400(2) to foster creative and effective ideas and to address newly discovered problems. Such projects might include, but are not limited to, roadway improvements at or approaching grade crossings; mitigation of problems created by crossing closures; and removal of sight obstructions to signals or trains for the traveling public.

(2) An applicant may at any time submit an application on a form provided by the commission for a grant to pay for costs of public grade crossing signals or other warning devices as described in subsection (1)(a) of this section. The commission will evaluate and act on such applications as they are received.

(3) An applicant may at any time submit an application for a grant to pay for projects falling within the categories described in subsection (1)(b), (c), and (d) of this section. When funds are available for disbursement, the commission will issue a call for grant applications with a deadline by which applications must be submitted for competitive consideration. The commission will evaluate and act on all pending applications, deciding whether each application should be granted, in whole or in part; whether the application should be retained for further consideration if funds become available; or whether the application should be denied. Applications that have not been denied may remain active until the next ensuing call for grant applications is issued, not to exceed two years from the date of the application, or such shorter time as the commission may specify.

(4) Applicants for projects described in subsection (1)(b), (c), and (d) of this section must submit grant applications on a form provided by the commission that requires applicants to provide the following information:

(a) A detailed summary of the hazard to be addressed, including location, accident history, and the identities of the relevant railroad company and local agency (local government that has jurisdiction over the issue and/or territory involved);

(b) A summary of the project and how its implementation will mitigate or eliminate the hazard;

(d) An estimated timeline for project completion;

(e) A description of how the project’s success can be measured;

(f) A summary of efforts to coordinate with the railroad and/or local government, and the results of those efforts;

(g) A description of the applicant's experience, capacity, and competency to complete the project; and

(h) Such other information as the commission may require.

History

Statutory Authority: RCW 80.01.040(4), 80.04.160, and 80.40.320. WSR 06-05-018 (Docket No. TR-051060, General Order No. R-527), § 480-62-405, filed 2/6/06, effective 3/9/06.

Wash. Admin. Code § 480-62-410 Funding for project categories.

The commission may set aside a specific amount for the category that includes public grade crossing signals and other warning devices. It may designate a portion of the total available funds for each of the other project categories. The commission may limit the amount of funding per project for each project category. The commission may also award a grant that pays a portion of a larger safety project.

History

Statutory Authority: RCW 80.01.040(4), 80.04.160, and 80.40.320. WSR 06-05-018 (Docket No. TR-051060, General Order No. R-527), § 480-62-410, filed 2/6/06, effective 3/9/06.

Wash. Admin. Code § 480-62-415 Evaluation and award process.

(1) The commission will evaluate each petition for a project involving grade crossing signals or other warning devices at a public crossing when it is filed. The commission will evaluate projects in other categories after the deadline specified in a call for grant applications. When evaluating projects, the commission may perform diagnostic reviews at the site of proposed projects and may inquire about possible revisions to improve the proposal. If the applicant modifies the grant application in response to commission inquiries, the commission will consider the application in its modified form.

(2) The commission will consider grant applications at regularly scheduled open meetings. Any interested person may speak at the open meeting regarding the grant applications.

(a) The commission will award a grant for a project involving grade crossing signals or other warning devices at a public crossing if funds are available and the commission determines that the public safety requires the project. The commission will consider the severity of the hazard addressed by the project and the safety benefits expected to be achieved.

(b) The commission will award grants to projects in other categories that, in the commission’s judgment, will achieve the greatest gains in safety relative to their cost. The commission will consider the relative severity of the hazard being addressed in each application, the safety benefits expected to be achieved by the proposed projects, the costs of implementing each project, the likelihood that the applicant can complete the project, and whether the applicant coordinated with and sought approval from the relevant local agency and railroad. The commission may also consider geographic diversity. The commission may condition an award on an amendment of the application regarding the requested level of funding, the suggested time limit for completion of the grant project, and any other proposed term or condition.

History

Statutory Authority: RCW 80.01.040(4), 80.04.160, and 80.40.320. WSR 06-05-018 (Docket No. TR-051060, General Order No. R-527), § 480-62-415, filed 2/6/06, effective 3/9/06.

Wash. Admin. Code § 480-62-420 Grant documents, timelines and fund transfers.

(1) As a condition of every grant award, award recipient must sign an agreement provided by the commission specifying the terms of the grant.

(2) If it appears that an award recipient is not meeting the timelines specified in the application, commission order, or agreement, the commission may set specific project milestones and deadlines for meeting them. The commission may withdraw the award if the award recipient does not achieve a milestone on time.

(3) When an award recipient completes a project, it must submit its request to the commission for disbursement of grant funds on a form provided by the commission.

(4) The commission will verify that the project is complete and meets all terms and conditions of the application, order, and agreement. When the commission confirms that the project has been completed consistent with the application, order, and agreement, the commission will disburse grant funds to the award recipient.

History

Statutory Authority: RCW 80.01.040(4), 80.04.160, and 80.40.320. WSR 06-05-018 (Docket No. TR-051060, General Order No. R-527), § 480-62-420, filed 2/6/06, effective 3/9/06.

Wash. Admin. Code § 480-62-999 Adoption by reference.

WAC 480-62-999

(1) Title 49 Code of Federal Regulations, cited as 49 C.F.R., including all appendices and amendments is published by the United States Government Printing Office.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-62-160 (Compliance policy), WAC 480-62-200 (Roadway worker safety and operating rules and statutes), WAC 480-62-205 (Track safety standards), WAC 480-62-210 (Crossing signal circuitry), WAC 480-62-215 (Hazardous materials regulations), WAC 480-62-235 (Flaggers), WAC 480-62-240 (Railroad owned or operated passenger carrying vehicles—Equipment), WAC 480-62-278 (Contract crew transportation vehicle and driver safety requirements), and WAC 480-62-293 (Contract crew transportation enforcement).

(c) Copies of Title 49 Code of Federal Regulations are available from the U.S. Government Online Bookstore, https://bookstore.gpo.gov/, and from various third-party vendors.

(2) Manual on Uniform Traffic Control Devices, cited as Manual on Uniform Traffic Control Devices, or MUTCD, is published by the United States Government Printing Office.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-62-230 (Traffic control devices), WAC 480-62-235 (Flaggers), and WAC 480-62-245 (Railroad owned or operated passenger carrying vehicles—Operation).

(c) Copies of the MUTCD are available from the U.S. Government Online Bookstore, https://bookstore.gpo.gov/, and from various third-party vendors.

(3) ANSI/ISEA Z308.1 - 2021 American National Standard for Minimum Requirements for Workplace First Aid Kits is published by the American National Standards Institute.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-62-240 (Railroad owned and operated passenger carrying vehicles—Equipment).

(c) Copies of ANSI/ISEA Z308.1 - 2021 American National Standard for Minimum Requirements for Workplace First Aid Kits and Supplies are available from American National Standards Institute.

(4) ANSI/ISEA 107-2020 - American National Standard for High-Visibility Safety Apparel is published by the American National Standards Institute.

(a) The commission adopts the version in effect on December 31, 2025.

(b) This publication is referenced in WAC 480-62-235 (Flaggers).

(c) Copies of ANSI/ISEA 107-2020 - American National Standard for High-Visibility Safety Apparel are available from American National Standards Institute.

(5) North American Standard Out-of-Service Criteria (OOSC) is published by the Commercial Vehicle Safety Alliance (CVSA).

(a) The commission adopts the version in effect on April 1, 2026.

(b) This publication is referenced in WAC 480-62-278 (Contract crew transportation vehicle and driver safety requirements).

History

Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 26-14-045, s 480-14-999, filed 6/25/26, effective 7/26/26. Statutory Authority: RCW 80.10.040, 80.04.160, 81.04.160, and 34.05.353. WSR 25-15-030, s 480-62-999, filed 7/8/25, effective 8/8/25. Statutory Authority: RCW 80.10.040 [ 80.01.040], 80.04.160, 81.04.160, and 34.05.353. WSR 24-13-092, § 480-62-999, filed 6/18/24, effective 7/19/24
WSR 23-13-003, § 480-62-999, filed 6/7/23, effective 7/8/23
WSR 22-15-104, § 480-62-999, filed 7/19/22, effective 8/19/22
WSR 21-13-130, § 480-62-999, filed 6/22/21, effective 7/23/21
WSR 19-14-118, § 480-62-999, filed 7/3/19, effective 8/3/19. Statutory Authority: RCW 80.01.040, 81.04.160, and 81.61.050. WSR 18-10-001 (Docket TR-170780, General Order R-591), § 480-62-999, filed 4/18/18, effective 5/19/18. Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 34.05.353. WSR 17-15-054 (Docket A-170015, General Order R-589), § 480-62-999, filed 7/13/17, effective 8/13/17
WSR 16-05-035 (Docket A-151884, General Order R-585), § 480-62-999, filed 2/9/16, effective 3/11/16
WSR 15-06-048 (Docket A-143302, General Order R-579), § 480-62-999, filed 3/2/15, effective 4/2/15
WSR 14-05-001 (Docket A-131761, General Order R-574), § 480-62-999, filed 2/5/14, effective 3/8/14
WSR 13-05-023 (Docket A-121496, General Order R-569), § 480-62-999, filed 2/11/13, effective 3/14/13
WSR 12-05-063 (Docket A-111722, General Order R-564), § 480-62-999, filed 2/15/12, effective 3/17/12
WSR 11-04-041 (Docket A-101466, General Order R-562), § 480-62-999, filed 1/25/11, effective 2/25/11
WSR 10-03-044 (Docket A-091124, General Order R-557), § 480-62-999, filed 1/14/10, effective 2/14/10
WSR 09-01-171 (Docket A-081419, General Order R-554), § 480-62-999, filed 12/23/08, effective 1/23/09
WSR 05-21-022 (Docket No. A-050271, General Order No. R-521), § 480-62-999, filed 10/10/05, effective 11/10/05
WSR 04-01-152 (General Order No. R-511, Docket No. A-030852), § 480-62-999, filed 12/22/03, effective 1/22/04
WSR 02-18-033 (Docket No. A-020379, General Order No. R-501), § 480-62-999, filed 8/26/02, effective 9/26/02. Statutory Authority: RCW 80.01.040, 81.04.160, 81.24.010, 81.28.010, 81.28.290, 81.40.110, 81.44.010, 81.44.020, 81.44.101- 81.44.105, and chapters 81.48, 81.53, 81.54, 81.60, and 81.61 RCW. WSR 01-04-026 (Docket No. TR-981102, General Order No. R-477), § 480-62-999, filed 1/30/01, effective 3/2/01.

Chapter 480-66 Railroad companies—Sanitation.

Wash. Admin. Code § 480-66-100 Definitions.

The definitions in this section apply throughout this chapter unless the context clearly requires otherwise.

"Bunk or section house" means the portion of any building in which employees are provided sleeping or living accommodations, except family dwellings.

"Caboose" means any car or coach used on a train to carry the train crew.

"Commission" means the Washington utilities and transportation commission.

"Company" means a common carrier railroad company as employer.

"Employee" means any person employed by a company.

"Incinerator toilet" means a toilet containing a receptacle for toilet waste to which intense heat is applied.

"Number of employees" means the maximum number of employees going on or coming off shift within any single hour.

"Office work area" means a yard office, station, depot, terminal, or freight, baggage and express office located on railroad property which is the usual place of employment for the performance of clerical or other work identified with office functions of the company.

"Railroads" means common carrier railroads.

"Sanitary" means free from things injurious to health, or effective in preventing or checking the effects of those things.

"Station" means a location where freight or passengers are ordinarily received and delivered, including all freight and express offices.

"Terminal" means a location where train crews and other employees are regularly required to report for duty.

"Toilets" means fixtures such as flush toilets, chemical closets, or privies used for the purpose of defecation.

"Usual place of employment" means the place where an employee works with a reasonable measure of continuity throughout the major part of the employee's company service.

"Yards" means yards, section headquarters, and locomotive and car shops.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-100, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-110 Application of chapter.

The rules in this chapter apply to all railroads operating within the state of Washington.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-110, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-120 Contacting the commission.

You may contact the commission in writing, in person, by telephone, by email, or by facsimile.

The commission's location, mailing address, email address, and telefax numbers are found in WAC 480-07-125. The commission's internet home page address is found in WAC 480-040-035 [ 480-04-035] .

History

480-04-035] .[Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-66-120, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-120, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-140 Rules of practice and procedure.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-66-140, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-140, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-150 Exemptions from rules.

(1) The commission may grant an exemption of any rule in this chapter, if consistent with the public interest, the purposes underlying regulation, and applicable statutes.

(2) To request a rule exemption, a person must file with the commission a written request identifying the rule for which an exemption is sought, and giving a full explanation of the reason the exemption is requested.

(3) The commission will assign the request a docket number, if needed, and schedule the request for consideration at one of its regularly scheduled open meetings or, if appropriate under chapter 34.05 RCW, in an adjudication. The commission will notify the person requesting the exemption, and other interested persons, of the date the commission will consider the request.

(4) The commission will enter an order granting or denying the request, or setting it for hearing pursuant to chapter 480-07 WAC.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-66-150, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-150, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-160 Filing a complaint.

Any interested person who believes that available sanitary or shelter facilities are inadequate or unsatisfactory under the rules in this chapter may file an informal or formal complaint with the commission pursuant to WAC 480-07-910 and 480-07-370 requesting the responsible party or parties to correct the condition. Upon investigating the complaint, the commission may issue an order, with or without hearing, directing that the conditions complained of be corrected.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-66-160, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-160, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-170 Reporting requirements.

Railroads must report to the commission, upon request, concerning the company's sanitation and shelter facilities and servicing programs required by these rules.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-170, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-200 General obligations.

(1) The company is responsible for providing employees with all items required by these rules.

(2) The company must, at all times, maintain all items required in these rules in proper working order and in a condition which is sanitary, free from vermin and rodents, and which is not offensive to a reasonable person, except when the items are taken out of service and are not accessible by employees.

(3) The company must establish a program to regularly review and service all items required in these rules to meet its obligations under subsections (1) and (2) of this section; however, implementing a program must not be a substitute for actual compliance with subsections (1) and (2) of this section.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-200, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-210 Locomotive cabs and cabooses.

(1) During use, locomotive cabs must be heated to a minimum of 50 degrees Fahrenheit.

(2) When required by the season of the year, doors and windows of all locomotives must be equipped with adequate protection to occupants from the elements by means of weather stripping, or other device sufficient to provide equally adequate protection.

(3) Cabooses must be maintained in a clean and sanitary condition.

(4) When required by the season of the year, doors, and windows of cabooses must be equipped with adequate weather stripping.

(5) Every caboose used in any train in this state, regardless of service, must be provided with a stove or other adequate means of heating. The company shall provide a sufficient supply of fuel for the trip or shift.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-210, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-220 Stationary facilities.

(1) Bed linen furnished by the railroad must be changed, and fresh, clean linen supplied at least once a week and for each new occupant.

(2) Adequate shelter must be furnished and maintained for watchmen. The shelter must be adequately heated, sealed and insulated against cold and inclement weather.

(3) Office work areas must be clearly lighted at all times during hours of use.

(4) Office work areas must be heated at all times during hours of use to a minimum of 65 degrees Fahrenheit.

(5) Office work areas must be provided with cross-ventilation when possible.

(6) Windows, ventilators and doors opening to the outside of office work areas must be properly screened during the seasons when insects are prevalent.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-220, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-230 Miscellaneous.

(1) Toilet rooms and washrooms must not be used for storage.

(2) Floors in all buildings and movable facilities must be maintained in a clean, and so far as reasonably possible, dry condition. Where wet processes are used, drainage must be maintained and false floors, platforms, mats or other dry standing places must be provided wherever reasonably possible.

(3) Screens required by these rules must be of 16 mesh or equal.

(4) Suitable receptacles for the storage of waste and refuse must be provided wherever needed. They must be maintained in a sanitary condition. Receptacles used for moist or liquid waste must be made of a smooth finished surface, impervious to moisture. They must be kept covered and must be washed out as often as necessary to keep them clean.

(5) All sweepings, waste and refuse must be removed in a manner which avoids raising dust, and as often as necessary to keep all rooms used by employees clean.

(6) Toilet waste must not be discharged onto the ground surface from railroad cars within servicing area of yards. Those areas must be kept free of refuse, litter, debris, vermin and rodents.

(7) Adequate drainage must be provided where work is performed in repair yards or on repair tracks in the open or in open sheds or pits. Waste must not drain into any water of the state, nor contaminate the ground surface, but must be disposed of in a manner approved by the Washington state department of health.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-230, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-300 Drinking water.

(1) An adequate supply of cool drinking water must be made available to all employees wherever they may be working.

(2) Drinking water must meet all standards of the Washington state department of health.

(3) Containers used to furnish drinking water must meet all specifications of the Washington state department of health and must be sterilized as often as necessary to assure a sanitary water supply.

(4) The common drinking cup is prohibited.

(5) Cross-connections between potable and nonpotable water supplies are prohibited. Nonpotable water supplies must be clearly labeled as not fit for drinking or washing.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-300, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-310 Washing facilities.

(1) An adequate number of wash basins or lavatories for maintaining personal cleanliness must be provided within reasonable access for all employees normally assigned to office work areas, stations, yards, terminals, shops, engine houses, lunch rooms, bunk houses, and section houses. All other employees must be provided an adequate means to maintain personal cleanliness for eating purposes and after defecation or urination.

(2) The following table must be used to determine the adequacy of washing facilities (twenty-four inches of trough or circular wash basin is considered the equivalent of one wash basin):

| Number of Employees | Minimum Number of Facilities | | --- | --- | | 1 to 10 | 1 basin | | 11 to 24 | 2 basins | | 25 to 49 | 3 basins | | 50 to 100 | 5 basins | | Over 100 | 5 basins plus 1 more for each additional 25 employees |

(3) At least one wash basin must be located in or adjacent to each toilet room.

(4) Wash basins or lavatories must be made of smooth finished material, impervious to moisture.

(5) Supplies for wash basins or lavatories must include:

(a) Hot and cold running water to wash basins.

(b) Mechanical drying facilities or individual towels, either paper or cloth. The use of common towels is prohibited.

(d) Soap or other suitable cleansing agent at each wash basin.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-310, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-320 Showers.

Showers must be required when the commission determines that they are necessary at a specific location to protect employees whose work involves exposure to poisonous, infectious or irritating material or to excessive dirt, heat fumes, vapors, or other materials or substances injurious to health. Adequate locker and dressing room facilities will be provided with showers. Specifications for showers will be determined for each location when the need for showers is established.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-320, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-330 Dressing rooms and lockers.

(1) Separate dressing rooms must be provided for men and women in all places of employment where it is necessary for employees to change clothing. Dressing rooms must be separated from toilet rooms by solid partitions and doors. Dressing rooms must have at least eighty square feet of floor space. If more than ten employees, at least an additional four square feet must be provided for each additional employee. Benches must be provided. Dressing rooms must be properly lighted, heated to a minimum of 65 degrees Fahrenheit, and adequately ventilated. Where reasonably possible, cross-ventilation must be provided.

(2) Individual metal lockers must be provided where dressing rooms are required. Lockers must also be provided for each employee who must store work-related items at any time. Lockers must be convenient for employee access and must be provided where needed, even if one locker must be provided to an employee at each end of a run. Lockers must be at least twelve inches wide, eighteen inches deep and seventy-two inches high, exclusive of legs or other base. The lockers must be equipped with a shelf and with at least one clothes hook for each side or equivalent hanger bar, and also with sufficient openings in the door for purposes of ventilation.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-330, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-400 General.

(1) Where running water and sewer or septic tank connections are reasonably available, flush-type toilets and urinals must be maintained.

(2) Chemical toilets or privies may only be used where it is impractical to install inside toilet and urinal facilities.

(3) No privy, urinal, cesspool, septic tank or other receptacle for human excrement must be used which directly or indirectly drains or discharges over, into or upon the surface of the ground or into the waters of the state.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-400, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-410 Water closets.

(1) Every flush toilet must have a rim flush bowl or be so constructed as to prevent the accumulation of fecal matter on the bowl. The bowl must be constructed of a smooth finished material impervious to moisture.

(2) Every bowl must be installed in a manner which allows surroundings and floor space to be easily cleaned.

(3) No pan, plunger or wash-out water closets are permitted except that pan or double-pan types are permitted for movable facilities.

(4) Every flush toilet must have a separate hinged seat made of a smooth finished material, other than metal, impervious to moisture.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-410, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-420 Urinals.

(1) Every urinal must be made of a smooth finished material impervious to moisture.

(2) Every urinal must be located within a toilet room.

(3) Twenty-four inches of trough urinal is equivalent to an individual urinal.

(4) Wherever a slab urinal is installed, the floor must be sloped toward the urinal drain for a distance of at least twenty-four inches in front of the urinal. Adequate splash guards must be installed.

(5) Every urinal must be flushed from a water-supplied tank or through valve, and flush valves must be installed with an approved back-flow preventer. Every tank must furnish an adequate quantity of water for each discharge for every fixture. In place of discharge from a tank or flush valve, water may be allowed to run continuously over slab or trough urinals.

(6) Clear floor space for each urinal or its equivalent must be at least two feet in width.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-420, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-430 Chemical toilets.

All chemical toilets installed must be of a type approved by the commission. Containers must be charged with chemical solution of proper strength and their contents must be agitated daily with proper devices provided for that purpose. When containers are more than two-thirds full the contents must be disposed of in an approved manner. The stacks connecting the seats with the containers must be cleaned as often as is necessary to keep them in a clean and sanitary condition.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-430, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-440 Incinerator toilets.

(1) All incinerator toilets used on railroad equipment in the state of Washington must be of a type approved by the commission.

(2) The installation and method of venting must be approved by the commission.

(3) Clear and concise instructions must be provided by the railroad company to insure that the units are operated correctly.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-440, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-450 Privies.

(1) All privies must be located, constructed, and maintained to avoid contaminating any water of the state.

(2) A suitable approach, such as concrete, gravel or cinder walk must be provided.

(3) Privies must be constructed and maintained to be insect and rodent proof.

(4) Every privy must be provided with a door that is self-closing.

(5) The lids over the seats must be constructed to fall into a closed position when the seat is not occupied.

(6) The pit, or vault must be ventilated to the outside air by means of a stack protected at its outlet by screens.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-450, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-460 Specifications for toilet rooms.

(1) Separation.

(a) No toilet room must have direct communication with any room in which unwrapped food products are prepared, stored, handled, or sold, unless separated by a self-closing door maintained in operating condition.

(b) Separate toilet facilities must be provided for men and women, and each toilet room must be plainly marked by a sign reading "men" or "women." However, where toilet rooms will be occupied by no more than one person at a time, can be locked from the inside, and contain at least one water closet, separate toilet rooms for each sex need not be provided. Where a single occupancy room has more than one toilet, only one of them may be counted for the purpose of the table in WAC 480-66-470.

(c) There must be no direct connection between toilet rooms for men and women. Each must have a separate entrance, and each entrance door must have an automatic closing device maintained in operating condition.

(2) In toilet rooms containing more than one water closet, each water closet must be in an individual compartment.

(3) Every toilet room must be adequately ventilated.

(4) All toilet facilities must be clearly lighted at all times during working hours.

(5) Every toilet room other than privies must be kept adequately heated.

(6) All windows, ventilators, and other openings, must be screened to prevent the entrance of insects. Toilet rooms must be kept free of insects and vermin.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-460, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-470 Number of toilets required.

General.

(1) Adequate toilet facilities must be provided for all employees, and for each sex. Facilities must be conveniently located and accessible, and must be maintained at all times in a usable and sanitary condition and in a condition which is not offensive to a reasonable person.

(2) The following table must be used as a guide in determining the adequacy of toilet facilities.

| Number of Employees | Minimum Number of Facilities | | --- | --- | | 1 to 10 persons | 1 toilet | | 11 to 25 persons | 2 toilets | | 26 to 49 persons | 3 toilets | | 50 to 100 persons | 5 toilets | | 100 persons or over | 5 toilets plus 1 more for each additional 25 employees |

(3) Whenever urinals are provided, one urinal may be substituted for one toilet, provided the number of toilets must not be reduced to less than two-thirds of the number shown in the foregoing table.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-470, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-480 Supplies for toilets.

(1) An adequate supply of toilet paper with holder must be maintained.

(2) In all toilet rooms used by women dispensing machines for sanitary napkins must be provided if requested.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-480, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-490 Location and types of toilets.

(1) Movable facilities. Flush, chemical, or incinerator type toilets must be provided on the following movable facilities:

(a) The lead locomotive of all trains except when used in yard service.

(b) Baggage and express cars where employees are required to work en route.

(2) Stationary facilities. Appropriate toilets, as required by these rules, must be provided and made accessible to all employees at all terminals, yards, stations, depots, office work areas, engine houses and shops, bunk or section houses, section headquarters, lunch rooms, and maintenance of way camps.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-490, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-500 Eating places.

(1) At all permanent and semi-permanent installations, an acceptable place with adequate space for eating meals must be provided for employees who bring their meals to their place of employment, or eat meals prepared at the camp facilities. An acceptable place with adequate space for eating meals must be provided at all other places whenever reasonably possible.

(2) Eating places must be constructed to permit them to be readily cleaned. At all times, they must be kept clean and sanitary, in good repair, and free of rodents, insects and vermin.

(3) Kitchen cars or other camp facilities must have adequate equipment for the sanitary preparation, cooking and refrigeration of food.

(4) If employees are allowed or required to eat in a locomotive, the eating area must be kept clean and sanitary at all times.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-500, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-510 Lunch rooms.

(1) In lunch rooms where food is served for employees, the food, equipment, and facilities are subject to the rules and regulations of the state department of health pertaining to public food establishments.

(2) Employees and workers handling and serving food are subject to those rules and regulations of the state department of health which are necessary to the sanitary handling of food.

(3) Concessionaire facilities provided by the company in lieu of direct company operations must comply with the regulations in these rules with respect to adequate space, adequate food handling facilities, sanitation and cleanliness.

(4) Adequate table and seating facilities must be provided for the maximum number of employees using the room at any one time.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-510, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-520 Specifications for lunch rooms and eating places.

(1) General. The minimum area of lunch rooms, or the amount of space to be added to that required for a locker room where a lunch room is not provided, must be based upon the maximum number of employees using the room or added space at any one time, in accordance with the following table:

| Number of Employees | Square Feet Per Employee | | --- | --- | | 10 to 25 | 8 | | 26 to 74 | 7 | | 75 to 149 | 6 | | 150 to 499 | 5 | | 500 and more | 4 |

(2) Every eating place and lunch room must be adequately ventilated. Where reasonably possible cross-ventilation must be provided.

(3) All lunch rooms must be clearly lighted at all times during hours of use.

(4) Every lunch room must be kept reasonably heated at all times.

(5) The windows, ventilators and doors opening to the outside of all lunch rooms must be properly screened during the season when insects are prevalent.

(6) One or more covered receptacles, as needed, must be furnished in lunch room and eating places for the disposal of waste food and other waste matter. The containers must be emptied regularly and cleaned as often as needed. The area where the receptacles are kept must be maintained free of litter overflowing the receptacles.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-520, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-600 Specifications for all accommodations.

(1) Walls, floors and ceilings must be constructed to permit them to be readily cleaned.

(2) Exterior windows and doors must be weather stripped during cold weather.

(3) Screens must be provided for outer doors and windows during any season when insects are prevalent.

(4) Heating facilities and adequate fuel must be provided with which employees may maintain a comfortable temperature as weather conditions may require.

(5) Lighting, by windows and/or acceptable artificial illumination, must be provided.

(6) Ventilation must be provided by windows opening directly to the outside air.

(7) Beds, bunks or cots with proper mattresses must be provided. The beds, bunks or cots must be raised at least twelve inches above the floor and be located two feet or more from the side of any other bed, bunk or cot located in the same room, and have at least twenty-seven inches of clear space above it.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-600, filed 1/21/00, effective 2/21/00.

Wash. Admin. Code § 480-66-620 Stationary facilities.

Dormitories or bunk rooms must be large enough to provide at least fifty square feet of floor area for each person. However, where double bunks are used at least thirty square feet of floor space must be provided for each person using a double bunk. The headroom of dormitories or bunk rooms must be at least seven feet.

History

Statutory Authority: RCW 81.04.160 and 80.01.040. WSR 00-04-011 (Order No. R-469, Docket No. TR-981101), § 480-66-620, filed 1/21/00, effective 2/21/00.

Chapter 480-70 Solid waste and/or refuse collection companies.

Wash. Admin. Code § 480-70-001 Purpose of chapter.

The legislature has declared that operating as a solid waste collection company in the state of Washington is a business affected with a public interest and that such companies should be regulated. The purpose of these rules is to administer and enforce chapter 81.77 RCW by establishing standards for:

• Public safety;

• Fair practices;

• Just and reasonable charges;

• Nondiscriminatory application of rates;

• Adequate and dependable service;

• Consumer protection; and

• Compliance with statutes, rules and commission orders.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-001, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-006 Application.

(1) Except for those operations described in WAC 480-70-011, these rules apply to any solid waste collection company in the business of transporting solid waste for collection and/or disposal from points in the state of Washington, for compensation, over the public highways.

(2) Cases of erroneous or doubtful interpretation of these rules by a solid waste collection company or customer are subject to appeal to the commission by any interested and proper party affected.

(3) Upon proper showing of any solid waste collection company, the commission may waive or modify as to that solid waste collection company the provisions of any rule in this chapter except when such provisions are fixed by statute.

(4) No deviation from these rules will be permitted without written authorization by the commission. Violation will be subject to the penalty provisions of chapter 81.04 RCW.

(5) A company in the business of transporting solid waste for collection and/or disposal from points in the state of Washington is not exempt from commission regulation under the provisions of:

(a) The Interstate Commerce Act. Commission regulation of solid waste collection companies includes regulation of the collection and transportation of solid waste between points in the state of Washington and from points in the state of Washington to out-of-state disposal locations; or

(b) The Federal Aviation Administration Authorization Act (FAAAA) of 1994. The FAAAA preempted state regulation of rates, routes and services of property carriers, but did not affect state regulation of solid waste collection companies.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-006, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-011 Exempt operations.

(1) The following collection and hauling operations are not regulated by the commission:

(a) The operations of a company conducted under a contract for solid waste collection service with a city or town (refer to RCW 81.77.020);

(b) The operations of a city or town that itself provides solid waste collection service (refer to RCW 81.77.020);

(c) The operations of a company conducted under a contract with any county, city or town for the collection or transportation of source-separated recyclable materials from residences (refer to RCW 81.77.130);

(d) The operations of any city or town that itself provides collection and transportation of source-separated recyclable materials from residences (refer to RCW 81.77.130);

(e) The operations of a recycling company or nonprofit entity collecting and transporting recyclable materials from a buy-back center, drop box, or from a commercial or industrial generator of recyclable materials when those recyclable materials are being transported for use other than disposal or incineration, or under agreement with a solid waste collection company (refer to RCW 81.77.140);

(f) The operations of a commercial or industrial generator of commercial recyclable materials in selling, conveying, or arranging for transportation of recyclable materials to a recycler for reuse or reclamation (refer to RCW 81.77.140);

(g) The operations of private carriers who, in their own vehicles, transport solid waste purely as an incidental adjunct to some other established private business owned or operated by them in good faith. This private-carrier exemption does not include persons transporting solid waste from residential sources, such as apartment houses or mobile home parks, in vehicles designed or used primarily for the transport of solid waste;

(h) The operations of carriers using special equipment to transport sewage or cesspool wastes as an incidental part of a septic tank or cesspool cleaning service; or

(i) The operations of carriers transporting loads either from a transfer station to a disposal site or between disposal sites (refer to RCW 36.58.050).

(2) The following collection and hauling operations are not regulated by the commission as solid waste:

(a) The operations of a carrier operating under a permit issued by the commission under chapter 81.80 RCW (motor freight) that occasionally transports to a disposal site, but whose primary business is not the collection of solid waste. This exemption does not apply if the carrier holds itself out to the public as a transporter of solid waste. Examples of this type of operation include, but are not limited to:

(i) A dump truck operator, who as a part of performing dump truck operations in conjunction with building or construction projects, hauls an occasional load to a disposal site; or

(ii) A household goods carrier who transports to a disposal site the used packing materials from a shipment of household goods that the carrier transported.

(b) A carrier collecting or transporting recyclable materials from a drop box or recycling buy-back center, or collecting or transporting recyclable materials by or on behalf of a commercial or industrial generator of recyclable materials to a recycler for use or reclamation. This type of operation is regulated under chapter 81.80 RCW as transportation of general commodities.

(3) A carrier transporting commercially salable earth that is used as fill, road ballast, or aggregate is regulated under chapter 81.80 RCW as a transporter of general commodities.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-011, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-016 Determination of authority required to transport specific commodities or provide specific services.

(1) Chapter 81.77 RCW is intended to cover operations of carriers whose primary business is transporting solid waste for collection and/or disposal. Persons holding permits issued by the commission under the provisions of chapter 81.80 RCW, whose primary business is not the collection of solid waste, normally will also need to obtain a certificate of public convenience and necessity if they transport solid waste to a disposal site on more than an occasional basis, or if they hold themselves out to the public as providing solid waste collection service.

(2) In some instances carriers may be engaged extensively in both motor freight and solid waste collection operations. In cases where such operations are separable, carriers may be required to hold both a solid waste certificate under the provisions of chapter 81.77 RCW and a motor carrier permit under the provisions of chapter 81.80 RCW in order to provide both services. In each case it is within the discretion of the commission to determine whether a carrier is required to hold both a motor carrier permit and a solid waste certificate.

(3) In some instances, transportation of a specific commodity may be subject to commission regulation under the provisions of chapter 81.80 RCW, or as solid waste under the provisions of chapter 81.77 RCW, depending on the circumstances involved in the transportation of that commodity. For example, if soil is transported to a landfill to become part of the cover of the landfill, the transportation is subject to regulation as a motor carrier under the provisions of chapter 81.80 RCW. However, if the soil is being transported to a landfill merely for disposal, the transporter is subject to regulation as a solid waste collection company under the provisions of chapter 81.77 RCW.

(4) In determining whether operations require a solid waste certificate or a motor carrier permit, the commission will consider factors including, but not limited to:

(a) The intent of the shipper;

(b) The intended destination of the shipment;

(d) Special handling or conditions placed on the shipment by the shipper and/or receiver;

(e) The value of the commodity being transported;

(f) Whether the carrier is primarily engaged in the business of providing solid waste collection or is primarily engaged in the business of providing a service other than the collection of solid waste; and

(g) Whether the carrier holds itself out to the public as a transporter of solid waste.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-016, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-021 Additional requirements.

(1) These rules do not relieve any solid waste collection company from any of its duties and obligations under the laws of the state of Washington.

(2) The commission retains the authority to impose additional or different requirements on any solid waste collection company in appropriate circumstances, consistent with the requirements of law.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-021, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-026 Severability.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-026, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-031 Resolving disputes about the meaning of these rules.

If the interpretation of any rule in this chapter is questioned by a company, a customer, or an applicant, a request for clarification may be filed with the commission.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-031, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-036 Rules of practice and procedure.

Commission rules governing administrative practices and procedures are in chapter 480-07 WAC. If a rule in this chapter conflicts with a rule in chapter 480-07 WAC, the rule in this chapter applies. Copies of chapter 480-07 WAC are available on request to the commission records center.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-70-036, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-036, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-041 Definitions, general.

(See WAC 480-70-226 (Tariffs, definitions used in) for definition of terms used primarily in tariff filings.) Unless the language or context indicates that a different meaning is intended, the following words, terms and phrases mean:

"Affiliated interest" means a person or corporation as defined in RCW 81.16.010.

"Application docket" means a commission publication listing applications requesting operating authority, and commission action taken on applications for temporary authority.

"Biomedical waste" means the following types of waste:

"Animal waste" means waste animal carcasses, body parts, and bedding of animals that are known to be infected with, or that have been inoculated with, human pathogenic microorganisms infectious to humans.

"Biosafety level 4 disease waste" means waste contaminated with blood, excretions, exudates, or secretions from humans or animals who are isolated to protect others from highly communicable infectious diseases that are identified as pathogenic organisms assigned to biosafety level 4 by the Centers for Disease Control, National Institute of Health, Biosafety in Microbiological and Biomedical Laboratories, current edition.

"Cultures and stocks" means wastes infectious to humans and includes specimen cultures, cultures and stocks of etiologic agents, wastes from production of biologicals and serums, discarded live and attenuated vaccines, and laboratory waste that has come into contact with cultures and stocks of etiologic agents or blood specimens. Such waste includes, but is not limited to, culture dishes, blood specimen tubes, and devices used to transfer, inoculate, and mix cultures.

"Human blood and blood products" means discarded waste human blood and blood components, and materials containing free-flowing blood and blood products.

"Pathological waste" means waste human source biopsy materials, tissues, and anatomical parts that emanate from surgery, obstetrical procedures, and autopsy. "Pathological waste" does not include teeth, human corpses, remains, and anatomical parts that are intended for interment or cremation.

"Sharps waste" means all hypodermic needles, syringes with needles attached, IV tubing with needles attached, scalpel blades, and lancets that have been removed from the original sterile package.

| Note: | Certificates issued prior to the effective date of these rules may contain the terms "biohazardous waste" or "infectious waste" in describing services authorized. From the effective date of these rules, those permits shall be understood to allow the transportation of "biomedical waste." | | --- | --- |

"Biohazardous or biomedical waste generator" means any person, by site, whose act or process produces infectious waste, or whose act first caused an infectious waste to become subject to regulation. In the case where more than one person, e.g., doctors with separate medical practices, are located in the same building, each individual business entity is a separate generator for the purposes of these rules.

"Biohazardous or biomedical waste transporter" means any person who transports infectious waste over the highways in a quantity equal to or exceeding one hundred pounds per month for compensation.

"Biosolids" means municipal sewage sludge that is a primarily organic, semisolid product resulting from the wastewater treatment process.

"Business of transporting solid waste for collection and/or disposal for compensation" means those carriers who are primarily in the specialized business of solid waste for collection and/or disposal.

"Cancellation" means an act by the commission to terminate a solid waste collection company certificate; or an act by a carrier to discontinue the application of a tariff, a tariff supplement, or a tariff item.

"Certificate" means the certificate of public convenience and necessity issued by the Washington utilities and transportation commission under the provisions of chapter 81.77 RCW for the operation of solid waste collection companies.

"Certificated authority" means the territory and services granted by the commission and described in a company's certificate of public convenience and necessity.

"City regulation" means regulation of the operations of a solid waste collection company by a city through issuance of a contract.

"Classes of companies":

"Class A company" means a traditional solid waste collection company with an annual gross operating revenue from regulated, intrastate operations of five million dollars or more.

"Class B company" means a traditional solid waste collection company with an annual gross operating revenue from regulated, intrastate operations of less than five million dollars.

"Class C company" means a solid waste collection company that does not provide traditional residential or commercial solid waste operations. This class includes specialized carriers generally hauling specific waste products for specific customers or providing only on-call or nonscheduled service.

"Classes of service" means either commercial, specialized, drop box, or residential service.

"Company" means a solid waste collection company.

"Commercial authority" means authority to provide solid waste collection service to business, institutional, or industrial generators.

"Commercial recycling service" means transportation of recyclable commodities from a buy-back center, drop box, or from a commercial or industrial generator of recyclable materials when those recyclable materials are being transported for use other than landfill disposal or incineration. Commercial recycling is regulated under chapter 81.80 RCW.

"Commercial service" means solid waste collection service provided to a business, institutional, or industrial generator.

"Commission" means the Washington utilities and transportation commission.

"Common carrier" means any person who transports solid waste by motor vehicle for compensation.

"Construction debris" or "construction waste" means solid waste resulting from the building or renovation of buildings, roads and other man-made structures. Construction debris includes, but is not limited to, materials such as plasterboard, cement, dirt, wood, and brush.

"Contract carrier" means a person holding a certificate issued by the commission authorizing transportation of solid waste for collection and/or disposal under special and individual contracts or agreements.

"Control" means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a company, whether through the ownership of voting shares, by contract, or otherwise.

"Demolition waste" or "demolition debris" means solid waste resulting from the demolition or razing of buildings, roads and other man-made structures. Demolition waste includes, but is not limited to, concrete, brick, bituminous concrete, wood and masonry, composition roofing and roofing paper, steel, and minor amounts of other metals like copper.

"Disinfect" means to cleanse by destroying harmful microorganisms.

"Disposal site" means the location where any final treatment, utilization, processing, or deposit of solid waste occurs. This term includes, but is not limited to, landfills, transfer stations, and incinerators.

"Dump truck operator" means a carrier holding a permit under chapter 81.80 RCW engaged in the operation of dump trucks and similar vehicles used in the transportation of sand, gravel, dirt, debris, and other similar commodities except solid waste. Dump truck operations are usually conducted during the daytime; are local in character; are somewhat seasonal, especially in connection with building or construction projects; and the value of the commodity transported is usually low.

"Filing" means any application, petition, tariff proposal, annual report, comment, complaint, pleading, or other document submitted to the commission.

"Garbage" means those materials of solid waste that are putrescible.

"Garbage and refuse." Whenever the phrase "garbage and refuse" is used as a qualifying phrase, it means either garbage or refuse, or both garbage and refuse.

"Hazardous waste" means any material that is subject to the Hazardous Waste Manifest Requirements of the U.S. Environmental Protection Agency specified in 40 C.F.R. Part 262.

"Incineration" means to reduce the volume of solid waste by use of an enclosed device using controlled flame combustion.

"Incinerator" means a site where solid waste is reduced in volume by use of an enclosed device using controlled flame combustion.

"Landfill" means a disposal facility or part of a facility at which solid waste is placed in or on land and which is not a land-treatment facility.

"Land-treatment facility" means the site on which the practice of applying dangerous waste onto or incorporating dangerous waste into the soil surface so that it will degrade or decompose takes place. The term does not include applying waste onto or into the soil surface for the purpose of soil sweetening or soil amendment.

"Leachate" means water or other liquid that has been contaminated by dissolved or suspended materials due to contact with solid waste or gases.

"Motor vehicle" means any truck, trailer, semi-trailer, tractor or any self-propelled or motor-driven vehicle used on any public highway of this state for the purpose of transporting solid waste for collection and/or disposal.

"Multiple-family residence" or "multifamily residence"means any structure housing two or more dwelling units.

"Multifamily service" means residential service provided to multifamily structures or locations including, but not limited to, duplexes, apartments, mobile home courts, and condominiums.

"Nonputrescible" means not capable of being readily decomposed by microorganisms.

"Occasional" means occurring at irregular and infrequent intervals. The term is qualitative, not quantitative, in that the term applies to services that are only performed from time-to-time, not that the solid waste hauling is only a small part of services offered.

"Packer" means a device or vehicle specially designed to compress loose materials.

"Person" means an individual, firm, corporation, association, partnership, lessee, receiver, trustee, consortium, joint venture, or commercial entity.

"Private carrier" means a person who transports solid waste in the person's own vehicle purely as an incidental adjunct to some other established private business owned or operated by that person in good faith.

| EXCEPTION: | A person who transports solid waste from residential sources in a vehicle designed or used primarily for the transport of solid waste is not a private carrier. | | --- | --- |

"Private motor vehicle" means a vehicle owned or operated by a private carrier.

"Private road" means a road not normally available for use by the public.

"Public highway" means every street, road, or highway in this state normally available for use by the public.

"Putrescible" means capable of being readily decomposed by microorganisms.

"Recyclable materials" means materials that are transported for recycling, reprocessing, reclamation, or for any process that extracts or modifies the commodity for reuse or another commercially valuable purpose.

"Recycling" means transforming or remanufacturing materials into usable or marketable materials for use other than landfill disposal or incineration.

"Refuse" means those materials of solid waste that are not putrescible.

"Residence" means the regular dwelling place of an individual or individuals.

"Residential authority" means authority to provide solid waste collection from residences.

"Residential recycling service" means collection of those solid wastes that are separated for recycling or reuse, such as paper, plastic, metals, and glass, that are identified as recyclable materials pursuant to a local comprehensive solid waste plan.

"Residential service" means solid waste collection from residences.

"Sewer sludge" means a semisolid substance consisting of settled sewage solids combined with varying amounts of water and dissolved materials, generated from a wastewater treatment system, that does not meet the requirements of chapter 70.95J RCW, and is transported to a site for disposal.

"Shipping paper" means a shipping order, bill of lading, manifest, or other shipping document serving a similar purpose and containing the information required in WAC 480-70-401 (Payment options).

"Small business" means any company that has fifty or fewer employees.

"Solid waste" or "solid wastes" means all putrescible and nonputrescible solid and semisolid wastes including, but not limited to:

• Garbage;

• Rubbish;

• Refuse;

• Swill;

• Ashes;

• Industrial wastes;

• Sewage sludge;

• Demolition and construction wastes;

• Abandoned vehicles or parts of abandoned vehicles; and

• Source-separated recyclable materials collected from single and multifamily residences.

"Solid waste collection" means collecting solid waste from residential or commercial customers and transporting the solid waste, using a motor vehicle, for collection and/or disposal over the highways of the state of Washington for compensation.

"Solid waste collection company" means every common carrier, including a contract carrier, who provides solid waste collection service.

"Source separation" means the separation of different kinds of solid waste at the place where the waste originates.

"Specialized solid waste collection company" means a company providing other than traditional solid waste collection service. Specialized companies generally haul specific waste products for specific customers, provide only on-call or nonscheduled service, or provide accessorial services not normally provided by traditional solid waste collection companies.

"State" means the state of Washington.

"Subsidiary" means any company in which the solid waste company owns directly or indirectly five percent or more of the voting securities, unless the solid waste company demonstrates it does not have control.

"Suspension" means an act by the commission to temporarily withhold a solid waste collection company's certificated authority; or an act by the commission to withhold approval of a company's tariff filing.

"Tariff" means a document issued by a company, and approved by the commission, containing the services provided, the rates and charges the company bills its customers for those services, and the rules describing how the rates and charges apply.

"Tariff service territory" means a company-defined geographic division of its certificated authority in which a specific tariff applies.

"Third-party waste broker" means a person or company acting on behalf of a generator of solid waste, usually an industrial or commercial generator, to arrange for collection and/or disposal of solid waste.

"Traditional solid waste collection company" means a company engaged in collecting and removing solid waste and recyclable materials from private homes, and/or removing solid waste from commercial establishments, industrial facilities, and other sites. Solid waste is normally picked up on a daily, weekly, or other regular basis. Drivers are usually assigned designated routes to collect curbside residential solid waste or transport cans or containers for commercial businesses. Unless the company's certificate is restricted against doing so, a traditional solid waste collection company may also perform specialized solid waste collection service.

"Transfer station" means a staffed, fixed supplemental facility used by persons and route collection vehicles to deposit solid wastes into transfer trailers for transportation to a disposal site. The definition does not usually include detachable containers. However, in counties with a population of less than seventy thousand, and in any county with a population of from one hundred twenty-five thousand to less than two hundred ten thousand that is located east of the crest of the Cascade mountain range, if detachable containers are securely fenced, staffed by an attendant during all hours when the detachable container is open to the public, and tipping fees that cover the cost of providing the containers and the use of the facility are charged, then such detachable containers constitute a transfer station. (Refer to RCW 36.58.030.)

"Treatment" means incineration, sterilization, or other method, technique, or process that changes the character or composition of a biomedical waste so as to minimize the risk of transmitting an infectious disease by making it noninfectious. Any waste, except sharps, that has been treated is not considered biohazardous or biomedical waste, and may be considered to be solid waste for purposes and handling.

"Vehicle" means every device capable of transporting solid waste on a public highway. The term "vehicle" does not include devices moved by human or animal power or used exclusively on stationary rails or tracks.

"Yard waste" or "yard debris" means plant material commonly created in the course of maintaining yards and gardens and through horticulture, gardening, landscaping, or similar activities. Yard waste includes, but is not limited to, grass clippings, leaves, branches, brush, weeds, flowers, roots, windfall fruit, and vegetable garden debris.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-06-051 (Docket No. A-021178 and TO-030288, General Order No. R-518), § 480-70-041, filed 2/28/05, effective 3/31/05. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-041, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-046 Change of address or telephone number.

A company must notify the commission in writing of any change in physical business address, business mailing address or business telephone number. This notice must be filed at least ten days before the effective date of the change by letter, telefacsimile, or email.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-046, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-051 Exemptions from rules in chapter 480-70 WAC.

The commission may grant an exemption from the provisions of any rule in this chapter in the same manner and consistent with the standards and according to the procedures set forth in WAC 480-07-110 (Exceptions from and modifications to the rules in this chapter; special rules).

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-06-051 (Docket No. A-021178 and TO-030288, General Order No. R-518), § 480-70-051, filed 2/28/05, effective 3/31/05. Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-70-051, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-051, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-056 Mapping.

(1) Software and scale compatibility. The commission uses geographic information system (GIS) software to track certificated authorities. When required by this chapter to file a map, a company must file that map in one of the methods described in (a) and (b) of this section.

(a) Electronic maps. A company may file an electronic map that is compatible with the commission's hardware and software. Before filing its map electronically, a company must contact the commission to determine whether its mapping software is compatible with that used by the commission.

(b) Paper maps. A company may file a paper map using United States Geological Survey (USGS) maps at a scale of 1:250,000 to show certificate boundaries. The commission may require maps at a scale of 1:24,000 to clearly resolve any inconsistencies. USGS maps are available through the Washington state department of natural resources and various private vendors.

(2) Map detail. Any map submitted to the commission must:

(a) Clearly show townships, ranges, streets, county lines, and any other feature described in the certificate;

(b) Be clearly labeled to identify the features described in the certificate;

(d) Have a map legend briefly describing the features on the map;

(e) Have a scale bar showing the distance on the map equal to a defined number of feet, miles or other unit; and

(f) Have a title box that includes the company's name as shown on the company's certificate, the company's registered trade name, the identification number of the company tariff to which the map applies, and a contact name and phone number.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-056, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-061 Records retention.

(1) General provisions. A company must keep all business records and reports for at least three years following the date those documents are created unless otherwise specified in these rules or unless a longer retention period is required by another governmental body.

(2) Retention schedule table. The following schedule shows periods that companies must preserve various records.

| Type of Record: | Retention Period: | | | --- | --- | --- | | 1. | Corporate and General Records: | | | A. | Incorporation and reorganization records including: | | | (a) | Charter or certificate of incorporation and amendments; | | | (b) | Legal documents related to mergers, consolidations, reorganization, receiverships and similar actions that affect the identity or organization of the company . . . . | Refer to Note 1 | | B. | Minutes of directors, executive committees, stockholders and other corporate meetings . . . . | Refer to Note 1 | | 2. | Original certificate . . . . | Until cancellation | | 3. | Contracts and agreements: | | | (a) | Service contracts (management, accounting, financial or legal services) . . . . | Until expiration or termination plus three years | | (b) | Contracts with employees and employee groups . . . . | Until termination plus one year | | (c) | General contracts, leases and agreements . . . . | Until termination plus one year | | 4. | Capital stock records . . . . | Refer to Note 1 | | 5. | Long-term debt records: | | | (a) | Bond indentures, underwritings, mortgages, and other long-term credit agreements . . . . | Until redemption plus three years | | (b) | Registered bonds and debenture ledgers . . . . | Refer to Note 1 | | (c) | Stubs or similar records of bonds or other long-term debt issued . . . . | Refer to Note 1 | | 6. | Ledgers: | | | (a) | General and subsidiary ledgers and indexes . . . . | Until discontinuance of use plus three years | | (b) | Balance sheets and trial balance sheets of general and subsidiary ledgers . . . | Three years | | 7. | Journals: | | | (a) | General journals . . . . | Until discontinuance of use plus three years | | (b) | Subsidiary journals and any supporting data necessary to explain journal entries . . | Three years | | 8. | Cash books: | | | (a) | General cash books . . . . | Until discontinuance of use plus three years | | (b) | Subsidiary cash books . . . . | Three years |

| Note 1: | Records referring to this note should be maintained as determined by the designated company records supervisory official. In determining the length of time to retain these records, companies should consider the record retention requirements of the Internal Revenue Service, Securities and Exchange Commission, state and local jurisdictions, and other regulatory agencies. | | --- | --- |

(3) Customer service records. A company must maintain complete and accurate customer service records for all customers served.

(a) Customer service records must be kept on file in the general office of the company for at least three years.

(b) Customer service records must be kept in alphabetical, service address, or service route order.

(i) The name and service address of the customer;

(ii) The billing address of the customer, if different than the service address;

(iii) Categories and quantity of service provided, including extra services as they are provided;

(iv) Information required to provide, on customer request, a detailed description of the amount billed the customer;

(v) Amounts billed;

(vi) Amounts collected; and

(vii) Balance due.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-061, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-066 Accounting requirements.

(1) The commission publishes a uniform system of accounts (USOA) for solid waste collection companies. The commission supplies copies of the USOA on request.

(a) The USOA defines accounting, financial, and other procedures the commission uses to determine if rates are fair, just, reasonable, and sufficient.

(b) The USOA contains accounting definitions, listings, and explanations of balance sheet and income statement accounts.

(2) The commission recommends companies maintain their financial and accounting records in concurrence with the USOA. Regardless of what accounting system a company uses, the company must maintain its books and records in a manner sufficient to complete the commission-issued annual report form, using figures that reconcile with the USOA.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-066, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-071 Reporting requirements.

(1) Annual reports. An annual report is an end-of-the-year summary of financial and operational activity that each regulated company is required to file with the commission.

(c) The commission may grant an extension of time allowing the company to file its annual report after the May 1 due date if the commission receives a request for extension before May 1.

(d) The commission may issue penalty assessments or take action to suspend or cancel a certificate if a company fails to file its required annual report.

(e) A company selling, canceling, transferring, or in some other manner discontinuing operations must submit an annual report for that portion of the year in which the company operated.

(2) Other reports. The commission may require a company to file periodic or other special reports.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-071, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-076 Regulatory fees.

A regulatory fee is an annual assessment paid by each company to cover the costs of regulating the solid waste industry.

(1) The maximum regulatory fee is set by statute at one percent of gross intrastate operating revenue.

(a) The maximum regulatory fee is assessed each year, unless the commission issues an order establishing the regulatory fee at an amount less than the statutory maximum.

(b) The minimum regulatory fee that a solid waste collection company must pay is twenty dollars.

(c) The twenty dollar minimum regulatory fee is waived for any solid waste collection company with less than two thousand dollars in gross intrastate operating revenue.

(2) A company must pay its regulatory fee by May 1 of each year.

(3) The commission does not grant extensions for payment of regulatory fees.

(4) If a company does not pay its regulatory fee by May 1, the commission will assess an automatic late fee of two percent of the amount due, plus one percent interest for each month the fee remains unpaid.

(5) The commission may take action to suspend or cancel a certificate, if a company fails to pay its regulatory fee.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160, and 2003 c 296. WSR 04-05-031 (Docket No. A-031232, General Order No. R-512), § 480-70-076, filed 2/11/04, effective 3/13/04. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-076, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-077 Transferring cash or assuming obligations.

(1) At least five business days, as defined in WAC 480-07-120 (Office hours), before a Class A company, whose corporate credit/issuer rating is not in one of the four highest rating categories of either Standard & Poor's L.L.C. or Moody's Investors Service, Inc., or its subsidiary transfers cash to any of its affiliated interests or subsidiaries or assumes an obligation or liability of any of its affiliated interests or any of its subsidiaries, the company must report to the commission an estimate of the amount to be transferred and the terms of the transaction when the transaction will exceed thresholds as described in (a) or (b) of this subsection.

(a) The company must report if the cumulative transactions to a subsidiary or affiliated interest for the prior twelve months exceed a threshold of five percent, which is based on the prior calendar year gross operating revenue from Washington intrastate operations subject to commission jurisdiction.

(b) When the threshold in (a) of this subsection has been reached, the company must report each subsequent transaction exceeding a threshold of one percent for the prior twelve-month period, which is based on the prior calendar year gross operating revenue from Washington intrastate operations subject to commission jurisdiction.

(2) The reporting requirements in subsection (1) of this section do not include payments for:

(a) Federal and state taxes;

(b) Goods, services, or commodities;

(c) Transactions, attributed to the regulated entity, previously approved or ordered by the commission, other regulatory agencies, or the court; or

(d) Dividends to the extent the level of such dividends over a twelve-month period does not exceed the larger of:

(i) Net income during such period; or

(ii) The average level of dividends over the preceding three years; or

(e) Sweep or cash management accounts used to transfer funds to or from a subsidiary or affiliate as part of the customary and routine cash management functions between or among the utility and its subsidiary or affiliate.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-06-051 (Docket No. A-021178 and TO-030288, General Order No. R-518), § 480-70-077, filed 2/28/05, effective 3/31/05.

Wash. Admin. Code § 480-70-078 Affiliated interest—Contracts or arrangements.

Prior to the effective date of any contract or arrangement described in RCW 81.16.020, each solid waste collection company must file a verified copy or a verified summary, if unwritten, of contracts or arrangements, except for transactions provided at tariff rates, with affiliated interests. Prior to the effective date of any modification or amendment, the company must file verified copies of the modifications or amendments to the contracts or arrangements. If the contract or arrangement is unwritten, the company must file a verified summary of any modification or amendment. The commission may institute an investigation and disapprove the contract or arrangement if the commission finds the company has failed to prove that it is reasonable and consistent with the public interest.

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-06-051 (Docket No. A-021178 and TO-030288, General Order No. R-518), § 480-70-078, filed 2/28/05, effective 3/31/05.

Wash. Admin. Code § 480-70-079 Affiliated interest and subsidiary transactions report.

(1) By June 1 of each year each Class A company must file a report summarizing all transactions that occurred between the company and its affiliated interests, except for transactions provided at tariff rates, and the company and its subsidiaries, during the period January 1 through December 31 of the preceding year.

(2) The information required in this subsection must be for total company and for total state of Washington. The report must include a corporate organization chart of the company and its affiliated interests and subsidiaries.

(3) When total transactions with an affiliated interest or a subsidiary are less than one hundred thousand dollars for the reporting period, the company must provide the name of the affiliated interest or subsidiary participating in the transactions and the total dollar amounts of the transactions. When total transactions with an affiliated interest or subsidiary equal or exceed one hundred thousand dollars for the reporting period, the company must provide:

(a) A balance sheet and income statement for such affiliated interest;

(b) A description of the products or services provided to or from the company and each such affiliated interest or subsidiary;

(c) A description of the pricing basis or costing method, and procedures for allocating costs for such products or services, and the amount and accounts charged during the year;

(d) A description of the terms of any loans between the company and each such affiliated interest or subsidiary and a listing of the year-end loan amounts and maximum loan amounts outstanding during the year;

(e) A description of the terms and total amount of any obligation or liability assumed by the company for each such affiliated interest or subsidiary;

(f) A description of the activities of each such affiliated interest or subsidiary with which the company has transactions; and

(g) A list of all common officers and directors between the solid waste company and each such affiliated interest or subsidiary, along with their titles in each organization.

(4) The company is obligated to file verified copies of affiliated interest contracts and arrangements as stated in WAC 480-70-078 (Affiliated interests—Contracts or arrangements).

History

Statutory Authority: RCW 80.01.040, 80.04.160, 81.04.160 and 34.05.353. WSR 05-06-051 (Docket No. A-021178 and TO-030288, General Order No. R-518), § 480-70-079, filed 2/28/05, effective 3/31/05.

Wash. Admin. Code § 480-70-081 Certificates, general.

(1) Certificate required. A person must have a certificate of public convenience and necessity from the commission before operating as a solid waste collection company in the state of Washington.

(2) Company name. The company name is the name of the certificate holder.

(a) A company electing to conduct operations under a trade name must first register the trade name with the commission.

(b) A company must conduct all operations under the company name or a registered trade name. The term "operations" includes, but is not limited to: Collection, billing, advertising, and identifying vehicles.

(3) Display. A company must keep the original of its certificate on file at its main office subject to inspection by any customer, law enforcement officer, commission compliance officer, or other authorized commission representative who asks to see it.

(4) Replacement. The commission will replace a lost or destroyed original certificate at no charge.

(5) Description of certificated authority. When a company's certificated authority is described using boundaries such as streets, avenues, roads, highways, townships, ranges or other descriptions, those descriptions or boundaries are established in the certificate as they existed at the time the commission granted the authority.

(6) Operating within certificated authority.

(a) A company must operate strictly within the authority described in its certificate.

(b) The commission may institute administrative sanctions against a company operating outside its certificated authority. Refer to WAC 480-70-216 for information regarding administrative sanctions.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-081, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-086 Certificates, application fees.

(1) The purpose of application filing fees is to partially cover handling and processing expenses.

(2) The commission establishes the following fees for application filings:

| Certificate applications, including applications for new authority, extension of existing authority, transfer of authority, lease of authority, and reinstatement of canceled authority. . . . | $ 200 | | --- | --- | | Temporary certificate applications, including applications for new temporary authority, temporary authority to operate pending a commission decision on a concurrently filed certificate application, and applications for expedited temporary. . . . | $ 25 | | Name change applications, including applications for change of corporate name, change of trade name, additional or new trade name, and change of surname of an individual owner or partner. . . . | $ 35 | | Mortgage applications, including requests for permission to mortgage or otherwise encumber a certificate. . . . | $ 35 |

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-086, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-091 Certificates, applications.

(1) A company must submit its application for certificated authority on forms provided by the commission.

(2) Applications must include all requested information, attachments, signed statements, and filing fees.

(a) The commission may reject or defer consideration of an application until the applicant provides all required information;

(b) The commission may reject or defer consideration of an application until the applicant pays any outstanding fees or penalties; or

(3) A certificate application must include, but is not limited to:

(a) A complete description of the proposed service and the line, route, or service territory using boundaries such as streets, avenues, roads, highways, townships, ranges, city limits, county boundaries, or other geographic descriptions;

(b) A map of the proposed line, route, or service territory that meets the standards described in WAC 480-70-056;

(d) A statement of the applicant's assets and liabilities;

(e) A proposed tariff;

(f) A statement of conditions that justify the proposed service;

(g) An equipment list; and

(h) A statement of the applicant's transportation or solid waste industry experience, including knowledge of motor carrier driver and equipment safety requirements.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-091, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-096 Certificates, acquisition of control.

(1) Notice required. Any person acquiring control of a solid waste collection company through acquisition of the stock of that company must notify the commission in writing within thirty days of the acquisition.

(2) Content of notice. Notice may be accomplished by filing a letter with the commission. The letter must include at least the following information:

(a) The name, registered trade names, and certificate number of the acquired company.

(b) The date of acquisition.

(d) The name, address, telephone number, telefacsimile number, and email address of a contact person within the company to whom questions may be directed.

(e) The location (mailing address and physical address) where books and records of the acquired company will be retained.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-096, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-101 Certificates, initiating service.

Filing an application for certificated authority does not authorize the applicant to start solid waste collection operations in the territory, or of the commodity, described in the application. The commission must grant authority and issue a certificate before a company may begin service in that territory.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-101, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-106 Certificates, application docket, protests, and intervention.

(1) Application docket. The application docket is a notice of pending certificate applications published by the commission. The application docket is mailed to each existing certificate holder and to any other interested person. It includes notice of certificate applications for:

(a) New authority;

(b) Extension of existing authority;

(d) Lease of authority; and

(e) Reinstatement of authority when a city discontinues self-hauling or contracting for solid waste collection.

(2) Protests. A certificate holder may file a protest to an application on the docket. A solid waste collection organization, association, or conference may file a protest on behalf of existing certificate holders, specifying the names of the persons or companies in whose interest the protest is filed.

(a) Form of protests. Protests must:

(i) Be filed within thirty days of the date the commission mailed the application docket notice;

(ii) Be filed according to the provisions of WAC 480-07-370;

(iii) Specify the reasons for protest; and

(iv) Specify the protestant's interest in the proceeding.

(b) Failure to file protest on time. A person who is eligible to file a protest but fails to do so within the thirty-day protest period may not in any way participate further in the proceeding, unless that person can show that the commission did not provide proper notice of the pending application.

(3) Intervention. Any person, other than the applicant and protestants to an application, who desires to appear and participate, and who does not desire to broaden the issues of the proceeding, may petition in writing to be an intervenor. Refer to chapter 480-07 WAC for information on intervention.

(4) Applications not subject to the docket and protest provisions of this rule. This rule does not apply to:

(a) Applications to reinstate a certificate canceled for cause under the provisions of WAC 480-70-166, when those applications are filed within thirty days of the cancellation date;

(b) Applications for expedited temporary authority;

(d) Applications for name change; or

(e) Applications to mortgage a certificate.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-70-106, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-106, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-111 Certificates, overlapping applications.

(1) The commission may consolidate applications for certificated authority for joint consideration if:

(a) The authority requested in the applications overlaps in whole or in part; and

(b) The subsequent application was filed within thirty days of the mailing date of the application docket notice of the original application.

(2) Applications for overlapping authority not filed within thirty days after the initial application docket notice will be decided after the conclusion of proceedings resolving the initial application and any other application qualifying for joint consideration.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-111, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-116 Certificates, sale, lease, assignment, transfer or mortgage.

(1) A company must obtain commission approval before it may sell, assign, lease, transfer, or mortgage its certificate, or any portion of the operating authority described in its certificate.

(2) To obtain commission approval for sale, assignment, lease, transfer or mortgage, all parties to the transaction must file a joint application with the commission.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-116, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-121 Certificates, name change.

(1) A company must file a name change application to:

(a) Change its corporate name;

(b) Change its trade name;

(d) Change the surname of an individual owner or partner to reflect a change resulting from marriage or other legal action.

(2) When filing a name change application, the applicant must include:

(a) The application fee required by WAC 480-70-086;

(b) Copies of any corporate minutes authorizing the name change; and

(c) Proof that the new name is properly registered with the department of licensing, office of the secretary of state, or other agencies, as may be required.

(3) If a name change results from a change in ownership, including addition or deletion of a partner, the company must file an application to transfer the certificate pursuant to the provisions of WAC 480-70-116.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-121, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-126 Certificates, refiling of application prohibited for six months.

(1) A person whose application has been denied after hearing may not refile the application for a period of six months from the date of the final order denying the application.

(2) A person whose application has been dismissed for failure to appear at a hearing, or who has been found to be in default, may not refile the application for a period of six months from the date of the final order dismissing the application.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-126, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-131 Certificates, temporary.

(1) Requirements. Temporary certificate applications must meet the requirements of WAC 480-70-091.

(2) Public interest. The commission may grant a temporary certificate after determining that granting the requested authority is consistent with the public interest. In determining if the requested temporary authority is consistent with the public interest, the commission will consider factors including, but not limited to:

(a) The fitness of the applicant.

(b) The immediate or urgent need for the requested service due to circumstances such as, but not limited to:

(i) An emergency rendering it impossible for the existing company to provide service;

(ii) Commission action suspending or canceling the authority of the existing company; or

(iii) Lack of service.

(d) Any other circumstances indicating that a grant of temporary authority is consistent with the public interest.

(3) Shipper support statements required. Applicants for temporary certificates must include signed and sworn support statements from one or more potential customers identifying all pertinent facts relating to need for the proposed service.

(4) Commission investigation of applications. Before granting or denying an application for temporary authority, the commission will conduct an investigation to examine the facts relating to the need for the proposed service.

(5) Special terms, conditions, and limitations. The commission may impose special terms, conditions, and limitations in connection with the grant of any temporary certificate. For example, the commission may limit temporary authority to provide service to only those commercial customers whose support statements are submitted with an application.

(6) Length of service allowed under temporary certificate. The commission may issue a temporary certificate effective for a period:

(a) Of up to one hundred eighty days when the area or service territory is not contained in another company's certificate;

(b) Of up to one hundred twenty days when the area or service territory is contained in another company's certificate; or

(c) That continues until the commission grants, denies, or dismisses a parallel certificate application for permanent authority, or until the temporary certificate is otherwise canceled, whichever happens first. The permanent certificate application must be filed within thirty days of the temporary certificate application or within thirty days of the order granting the temporary certificate.

(7) Docketing. The commission will publish the following on its application docket:

(a) Temporary certificates granted, including any terms and conditions attached to the grant of such authorities; and

(b) A list of all applications for temporary certificated authority that the commission considered and denied.

(8) Protests. An existing company may file a protest opposing a temporary certificate, if the area or service territory granted is contained in the existing company's certificate. A solid waste collection organization, association, or conference may file a protest on behalf of existing companies, specifying the names of the individuals or companies in whose interests the protest is filed. Protests must:

(a) Be filed with the commission in writing within twenty days after the date the commission mails the application docket;

(b) Contain a statement of the specific grounds on which the protest is made;

(d) Be served on the applicant; and

(e) Be served on the applicant's representative, if one is stated in the notice.

(9) Disposition of protests. The commission may grant or deny a protest without hearing.

(10) Brief adjudicative proceedings. The commission may order a brief adjudicative proceeding on its own motion or at the request of a party.

(11) Intervention. Any person, other than the applicant and protestants to an application, who desires to appear and participate, and who does not desire to broaden the issues of the proceeding, may petition in writing to be an intervenor. Refer to chapter 480-07 WAC for information on intervention.

History

Statutory Authority: RCW 80.01.040 and 80.04.160. WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-70-131, filed 11/24/03, effective 1/1/04. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-131, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-136 Certificates, temporary, expedited application.

The commission may grant temporary authority using an expedited application process to meet an immediate or urgent need for service if it determines that doing so would be consistent with the public interest. Authority granted under these provisions is known as "expedited temporary authority" or an "ETA."

(1) Determining public interest. The commission will consider the following factors in determining whether granting expedited temporary authority is consistent with the public interest:

(a) A showing of an immediate or urgent need for the requested service due to circumstances such as, but not limited to:

(i) An emergency rendering it impossible for the existing company to provide service;

(ii) Commission action suspending or canceling the authority of the existing company; or

(iii) Lack of service.

(b) The presence or lack of available service capable of meeting the need; and

(c) Any other circumstances indicating that the grant of the expedited temporary authority is consistent with the public interest.

(2) Restrictions and limitations on expedited temporary authority.

(a) The commission may grant expedited temporary authority for periods of not more than thirty days.

(b) The commission may limit expedited temporary authority to providing service to the specific customer or customers supporting the application.

(c) The commission may further limit expedited temporary authority to service within a specific county, a specific city, a specific geographical area, a specific route, or a specific site.

(3) Application for expedited temporary authority. A company applying for expedited temporary authority must submit at least the following:

(a) An application on a form provided by the commission.

(b) Sworn statements from a customer or customers setting forth all pertinent facts relating to the need for service.

(c) Proof that the applicant holds insurance coverage in the amounts, and meeting the provisions, of WAC 480-70-181. Proof may consist of an insurance policy or a certificate of insurance.

(d) An application fee of twenty-five dollars.

(e) A statement that the company will comply with all applicable safety regulations including, but not limited to, those regulations relating to driver qualifications, hours of service, equipment safety, and drug and alcohol testing.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-136, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-141 City service and cancellation of certificated authority.

(1) City service. To the extent solid waste collection service is provided within the limits of a city or town, it must be provided by:

(a) A solid waste collection company regulated by the commission operating under a commission-issued certificate authorizing such service; or

(b) A city or town that self-hauls or contracts for service, exempt from commission regulation under the exemption for cities in RCW 81.77.020.

(2) City service—Cancellation of certificated authority and termination of commission regulation.

(a) The commission will cancel the affected certificated authority and cease regulation in the affected area on the date that a city or town commences service as specified in its notice to the commission unless (b) of this subsection applies.

(b) If a city or town commences service before notifying the commission in writing, the commission will not cancel the affected certificated authority and cease regulation in the affected area until the date of receipt of the city's or town's written notice.

(3) Company responsibilities. When entering into a contract with a city or town to provide solid waste collection services, a regulated company must advise the commission within thirty days of the date of the agreement if the area to be served is contained in the company's certificated authority. Notice must include a cover letter, a copy of the executed agreement, and a map of the affected area. The map submitted must meet the standards defined in WAC 480-70-056.

(4) Compensation for canceled certificated authority. A company must notify the commission in writing within thirty days of a city or town purchasing or condemning all or a portion of its certificated authority. Notice must include a cover letter and a copy of the relevant document such as an ordinance, resolution, franchise, or contract.

(5) City service discontinued. When a city notifies the commission of its decision to discontinue providing solid waste collection service to the extent solid waste collection service is provided within the limits of a city or town:

(a) Except to the extent set forth in subsection (4) of this section, the previously canceled certificated authority will be reinstated, and a new or revised certificate will be issued to the previous certificate holder or its successor if the previous certificate holder, or its successor, petitions for reinstatement and:

(i) Prior certificated authority was canceled by city annexation or incorporation; or

(ii) Prior certificated authority was canceled by commencement of city service under RCW 80.77.020.

(b) The commission will consider all applications for new certificated authority if the previous certificated authority was purchased or condemned.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-141, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-146 Contracts.

Contracts accompanying applications for contract certificated authority must be original or duplicate original contracts. They must be mutually binding on both the shipper and company, entered into in good faith, and include:

(1) The starting and ending dates of the agreement;

(2) The route or area in which service will be provided;

(3) The kind and minimum quantity of the commodities to be transported (the minimum quantity must be an amount sufficient to allow operation of the company's equipment at a profit);

(4) The rates agreed on by the parties;

(5) A description of the process for terminating the contract before the stated expiration date, that specifies that at least five days' notice must be given to the commission and to both parties before the termination process may be implemented; and

(6) A provision stating that the contract is subject to the authority of the commission to fix or amend just, fair, and reasonable classifications, rules, and minimum rates and charges for solid waste collection service.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-146, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-151 Service agreements between companies.

(1) A company may enter into an agreement to allow another company to operate in its territory when the first company:

(a) Holds exclusive traditional authority for solid waste collection service in the territory to be served; and

(b) Lacks suitable equipment to adequately serve its customers, or is unable to provide service on a temporary basis due to situations such as, but not limited to, road closures, temporary weight limitations, or other temporary restrictions imposed by local jurisdictions.

(3) The agreement filed with the commission must clearly state:

(a) The first company will bill customers for service provided by the second company at rates and charges contained in the first company's filed tariff.

(b) The first company will pay the second company for providing service in compliance with terms stated in the agreement.

(d) A provision for early termination of the agreement that includes at least five days' notice to the commission and to each party.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-151, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-156 Contracts or service agreements with third-party waste brokers.

A company providing solid waste service under a contract or agreement with a third-party waste broker must comply with the laws of the state of Washington, commission rules and policies relating to solid waste collection and/or disposal, and the provisions contained in the company's filed, approved tariffs.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-156, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-161 Suspending and canceling certificates.

(1) Cause for suspension. The commission may suspend a certificate for cause. Cause includes, but is not limited to:

(a) Failure to maintain evidence of required liability insurance coverage for all areas of a company's operations;

(b) Failure to file an annual report or pay required regulatory fees;

(d) Failure or refusal to comply with operating standards that protect the public health, safety or welfare;

(e) Allowing others to operate under a company's certificated authority without having first obtained commission approval; or

(f) Operating in a manner that violates the rights of customers and/or constitutes an unfair or deceptive business practice.

(2) Cause for cancellation. The commission may cancel a certificate for cause. Cause includes, but is not limited to:

(a) Operating without proper insurance;

(b) Failure to file an annual report or pay required regulatory fees;

(c) Failure to correct within the time specified in a suspension order all conditions listed in the suspension order that led to the certificate's suspension;

(d) Continued violations of applicable laws and rules affecting the public health, safety, or welfare when the commission has reason to believe the company will not comply with those laws and rules following a specified period of suspension;

(e) Repeated failure or refusal to comply with applicable laws and rules pertaining to operations of solid waste collection companies;

(f) Failure to supply requested information needed by the commission in the performance of its regulatory functions;

(g) Submission of false, misleading, or inaccurate information; or

(h) Allowing others to operate under a company's certificated authority without having first obtained commission approval.

(3) Notice of pending suspension and cancellation. When the commission believes cause exists to suspend or cancel a certificate, it will issue a notice to the company of the commission's intention to suspend or cancel the authority.

(4) Contest of suspension and cancellation. A company may contest the pending suspension and/or cancellation of its certificate by requesting a hearing or brief adjudicative proceeding within ten days following the date of the notice.

History

Statutory Authority: RCW 80.01.040(4), 81.04.160. WSR 06-07-100 (Docket No. T-051359, General Order No. R-529), § 480-70-161, filed 3/15/06, effective 4/15/06. Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-161, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-171 Certificates, reinstatement.

(1) The commission may reinstate a certificate canceled for cause under provisions of WAC 480-70-166 if the company:

(a) Corrects all conditions leading to the cancellation; and

(b) Files a certificate application to reinstate authority with proper application fee within thirty days of the cancellation service date.

(2) The commission may reinstate a certificate, or any portion of the operating authority contained in a certificate, canceled by city annexation or incorporation under the conditions specified in WAC 480-70-141.

(3) The commission may reinstate a certificate suspended under the provisions of WAC 480-70-161 if the company satisfies the terms of the suspension and all conditions leading to the suspension are corrected.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-171, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-176 Certificates, discontinuance of operations.

(1) A company must not discontinue operations authorized under its certificate without prior approval from the commission.

(2) A company requesting commission approval to discontinue operations must give at least ten days' written notice to its customers, officials of cities and counties where affected customers reside, and the commission.

(3) A request for approval to discontinue operations must contain at least the following:

(a) The name, telephone number, mailing address, telefacsimile number (if any) and email address (if any) of a contact person;

(b) An explanation of the company's reasons for requesting approval to discontinue operations;

(c) A statement of the number of customers, by class of service provided, who will lose service if the commission grants the requested approval to discontinue operations; and

(d) An explanation of options available to the customers who will lose service. For example: Names of landfills and/or transfer stations to which the customer may self-haul or the names of companies with overlapping certificates.

History

Statutory Authority: RCW 81.04.160, 81.77.030 and 80.01.040. WSR 01-08-012 (Docket No. TG-990161, General Order No. R-479), § 480-70-176, filed 3/23/01, effective 4/23/01.

Wash. Admin. Code § 480-70-181 Public liability and property damage insurance.

(1) Insurance coverage. A company must have public liability and property damage insurance covering each motor vehicle it operates in the state of Washington.

(b) The insurance policy must include the Uniform Motor Carrier Bodily Injury and Property Damage Liability Endorsement (Form F).

(c) If a company operates without the required insurance coverage, the commission may take immediate compliance action as described in WAC 480-70-161 and WAC 480-70-166.

(2) Insurance limits. The minimum limits of required public liability and property damage insurance for motor vehicles operated by companies are:

| Vehicles that: | Must have bodily injury and property damage insurance or bond with the following minimum limits: | | --- | --- | | Have Gross Vehicle Weight Rating (GVWR) less than 10,001 pounds | $300,000 combined single limit coverage | | Have GVWR 10,001 pounds or more | $750,000 combined single limit coverage | | Transport quantities of biomedical waste not subject to federal regulation | $1,000,000 combined single limit coverage | | Transport quantities of hazardous or biomedical waste that are subject to federal regulation | The federal minimum combined single limit coverage |