WSR 16-21-082
PROPOSED RULES
BOARD OF INDUSTRIAL
INSURANCE APPEALS
[Filed October 18, 2016, 11:09 a.m.]
Original Notice.
Proposal is exempt under RCW 34.05.310(4) or 34.05.330(1).
Title of Rule and Other Identifying Information: Chapter 263-12 WAC, Practice and procedures before the board of industrial insurance appeals.
Hearing Location(s): Board of Industrial Insurance Appeals, Main Conference Room, 2430 Chandler Court S.W., Olympia, WA 98502, on December 1, 2016, at 9:00 a.m.
Date of Intended Adoption: December 2, 2016.
Submit Written Comments to: Brian O. Watkins, P.O. Box 42401, Olympia, WA 98502, e-mail brian.watkins@biia.wa.gov, fax (855) 586-5611, by November 21, 2016.
Assistance for Persons with Disabilities: Contact Chuck McCullough by November 21, 2016, TTY (360) 753-6823 ext. 1130.
Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: Amendments to WAC 263-12-01501, this amendment deletes the facsimile page limit, which the agency has determined is no longer needed. It also adds language to codify what has happened in practice; failure of a party to comply with filing requirements may prevent consideration of the communication.
Amendments to WAC 263-12-020, these amendments clarify and codify the agency's current practice regarding individuals permitted to appear and participate in proceedings. An attorney who has been disciplined, suspended, or resigns in lieu of discipline, for any reason must request permission to practice in advance. A process to certify compliance for a nonunion lay representative in an industrial insurance claim appeal is created. The phrase "lay representative" also includes nonattorneys who appear for employers and retrospective rating groups. A description of individuals permitted to represent the department of labor and industries in proceedings has been added. Any party may be represented by a legal intern licensed in compliance with Washington admission to practice rule 9. Finally, employee representatives appearing in Washington Industrial Safety and Health Act (WISHA) appeals may receive compensation.
Amendments to WAC 263-12-059, this amendment allows the agency to waive the appeal-worksite-posting requirement if an employer shows posting of the appeal is impossible or infeasible. A provision allowing for this type of waiver existed in the pre-2014 version of the rules but was inadvertently removed during 2014 rule making. This section is also amended to correct a scrivener's error in the numbering of the provisions in subsection (4).
Amendments to WAC 263-12-095, a typographical error in subsection (2) is corrected. The section addressing a party's failure to provide information sufficient to schedule a hearing is amended to reflect the board's or an industrial appeals judge's discretionary authority.
Amendments to WAC 263-12-116, these amendments support our transition to an electronic appeal process by defining the format for a media (audio or video) exhibit. Formatting changes have been made to improve readability and specific direction. A new subsection is added to address issues arising from recent public records requests in appeals under WISHA, (chapter 49.17 RCW). Parties need to identify, at the time of submission, exhibits that implicate trade secret protection provided by the Uniform Trade Secrets Act (chapter 19.108 RCW) and possible exemption from disclosure under RCW 42.56.270.
Amendments to WAC 263-12-117, these amendments support our transition to an electronic appeal file process and reflect the statutory limitation on what constitutes the agency's official record. Perpetuation depositions, court reporter transcription certification and exhibits must be filed electronically, through a portal on the agency's web site. Previously, electronic filing of exhibits had been permissive. The electronic deposition format must be searchable, and media (audio or video) exhibits must conform to the MP4 format standard. Video depositions will not be considered because RCW 51.52.100 requires oral testimony to be stenographically reported and transcribed.
Amendments to WAC 263-12-118, this amendment allows nondispositive motions to be heard on a conference notice rather than as formal hearings requiring a hearing notice. Written motions must clearly identify the action requested on the first page of a submission.
Amendments to WAC 263-12-145, this amendment requires a petition for review of a proposed decision and order be filed separately from any other pleading or communication with the board and must note "PETITION FOR REVIEW" on the first page of the submission. The remaining sections are renumbered because a new subsection has been added.
Reasons Supporting Proposal: See Purpose above.
Statutory Authority for Adoption: RCW 51.52.020.
Rule is not necessitated by federal law, federal or state court decision.
Name of Proponent: Board of industrial insurance appeals, governmental.
Name of Agency Personnel Responsible for Drafting, Implementation, and Enforcement: Brian O. Watkins, 2430 Chandler Court S.W., Olympia, WA 98502, (360) 753-6823.
No small business economic impact statement has been prepared under chapter 19.85 RCW. There is no impact or financial issue in the amendments being made or in the new proposed rules. The amendments and new rules are to clarify procedural rules relating to administrative hearings.
A cost-benefit analysis is not required under RCW 34.05.328. These rules are not legislative. They relate to procedures related to agency hearings or clarify a rule without changing its effect.
October 18, 2016
Brian O. Watkins
Executive Secretary
AMENDATORY SECTION (Amending WSR 14-24-105, filed 12/2/14, effective 1/2/15)
WAC 263-12-01501 Communications and filing with the board.
(1) Where to file communications with the board. Except as provided elsewhere in this section all written communications shall be filed with the board at its headquarters in Olympia, Washington. With written permission of the industrial appeals judge assigned to an appeal, depositions, witness confirmations, motions (other than motions for stay filed pursuant to RCW 51.52.050), briefs, stipulations, agreements, and general correspondence may be filed in the appropriate regional board facilities located in Tacoma, Spokane, or Seattle.
(2) Methods of filing. Unless otherwise provided by statute or these rules any written communication may be filed with the board personally, by mail, by telephone facsimile, or by electronic filing. Failure of a party to comply with the filing methods set forth in these rules or statute for filing written communications may prevent consideration of a document.
(a) Filing personally. The filing of a written communication with the board personally is accomplished by delivering the written communication to an employee of the board at the board's headquarters in Olympia during customary office hours.
(b) Filing by mail. The filing of a written communication with the board is accomplished by mail when the written communication is deposited in the United States mail, properly addressed to the board's headquarters in Olympia and with postage prepaid. Where a statute or rule imposes a time limitation for filing the written communication, the party filing the same should include a certification demonstrating the date filing was perfected as provided under this subsection. Unless evidence is presented to the contrary, the date of the United States postal service postmark shall be presumed to be the date the written communication was mailed to the board.
(c) Filing by telephone facsimile.
(i) The filing of a written communication with the board by telephone facsimile is accomplished when a legible copy of the written communication is reproduced on the board's telephone facsimile equipment during the board's customary office hours. All facsimile communications must be filed with the board via fax numbers listed on the board's web site.
(ii) The hours of staffing of the board's telephone facsimile equipment are the board's customary office hours. Documents sent by facsimile communication comments outside of the board's customary office hours will be deemed filed on the board's next business day.
(iii) Any written communication filed with the board by telephone facsimile should be preceded by a cover page identifying the party making the transmission, listing the address, telephone and telephone facsimile number of such party, referencing the appeal to which the written communication relates, and indicating the date of, and the total number of pages included in, such transmission. A separate transmission must be used for each appeal. Transmissions containing more than one docket number will be rejected and filing will not be accomplished, unless the multiple docket numbers have been previously consolidated by the board.
(iv) ((Written communication should not exceed fifteen pages in length, exclusive of the cover page required by this rule.
(v))) The party attempting to file a written communication by telephone facsimile bears the risk that the written communication will not be received or legibly printed on the board's telephone facsimile equipment due to error in the operation or failure of the equipment being utilized by either the party or the board.
(((vi))) (v) The board may require a party to file an original of any document previously filed by telephone facsimile.
(d) Electronic filing. Electronic filing is accomplished by using the electronic filing link on the board's web site. Communication sent by e-mail will not constitute or accomplish filing. Communication filed using the board's web site outside of the board's customary office hours will be deemed filed on the board's next business day. A separate transmission must be used for each appeal. Transmissions containing more than one docket number will be rejected and filing will not be accomplished, unless the multiple docket numbers have been previously consolidated by the board.
(3) Electronic filing of a notice of appeal. A notice of appeal may be filed electronically when using the appropriate form for electronic filing of appeals as provided on the board's web site. An electronic notice of appeal is filed when it is received by the board's designated computer during the board's customary office hours pursuant to WAC 263-12-015. Appeals received via the board's web site outside of the board's customary office hours will be deemed filed on the board's next business day. The board will issue confirmation to the filing party that an electronic notice of appeal has been received. The board may reject a notice of appeal that fails to comply with the board's filing requirements. The board will notify the filing party of the rejection.
(4) Electronic filing of application for approval of claim resolution structured settlement agreement. An application for approval of claim resolution structured settlement agreement must be filed electronically using the form for electronic filing of applications for approval of claim resolution structured settlement agreement as provided on the board's web site. An electronic application for approval of claim resolution structured settlement agreement is filed when received by the board's designated computer during the board's customary office hours pursuant to WAC 263-12-015. Applications received by the board via the board's web site outside of the board's customary office hours will be deemed filed on the board's next business day. The board will issue confirmation to the filing party that an electronic application for approval of claim resolution structured settlement agreement has been received. An electronic copy of the signed agreement for claim resolution structured settlement agreement must be submitted as an attachment to the application for approval. The board will reject an application for approval of claim resolution structured settlement agreement that fails to comply with the board's filing requirements. The board will notify the filing party of the rejection.
(5) Sending written communication. All correspondence or written communication filed with the board pertaining to a particular case, before the entry of a proposed decision and order, should be sent to the attention of the industrial appeals judge assigned to the case. Interlocutory appeals should be sent to the attention of the chief industrial appeals judge. In all other instances, written communications shall be directed to the executive secretary of the board.
(6) Form requirements. Any written communications with the board concerning an appeal should reference the docket number assigned by the board to the appeal, if known. Copies of any written communications filed with the board shall be furnished to all other parties or their representatives of record, and the original shall demonstrate compliance with this requirement. All written communications with the board shall be on paper 8 1/2" x 11" in size.
AMENDATORY SECTION (Amending WSR 14-24-105, filed 12/2/14, effective 1/2/15)
WAC 263-12-020 Appearances of parties before the board.
(1) Who may appear? Any party to any appeal may appear before the board at any conference or hearing held in such appeal, either on the party's own behalf or by a representative as described in subsections (3) and (4) of this section.
(2) Who must obtain approval prior to representing a party? A person who is disbarred, resigns in lieu of discipline, or is presently suspended from the practice of law ((for disciplinary reasons)) in any jurisdiction, or has previously been denied admission to the bar in any jurisdiction for reasons other than failure to pass a bar examination, shall not represent a party without the prior approval of the board. A written petition for approval shall be filed sixty calendar days prior to any event for which the person seeks to appear as a representative. The board may deny any petition that fails to demonstrate competence, moral character, or fitness.
(3) Who may represent a party?
(a) A worker or beneficiary may be represented by:
(i) An attorney at law with membership in good standing in the Washington state bar association or a paralegal supervised by an attorney at law with membership in good standing in the Washington state bar association.
(ii) An attorney at law with membership in good standing in the highest court of any other state or the District of Columbia.
(iii) A lay representative so long as the person does not charge a fee ((and)), is not otherwise compensated for the representation except as provided in (a)(iv) of this subsection, and files a declaration or affidavit with the board certifying compliance with this rule. The industrial appeals judge may alternatively permit this certification to be made under oath and reflected in a transcript or report of proceeding.
(iv) A ((person)) lay representative employed by the worker's labor union whose duties include handling industrial insurance matters for the union, provided the person files a declaration or affidavit with the board certifying this status. The industrial appeals judge may alternatively permit this certification to be made under oath and reflected in a transcript or report of proceeding.
(v) Any lay representative seeking to represent a worker or beneficiary who has not provided the certification required under (a)(iii) and (iv) of this subsection will be excluded from serving as a worker's or beneficiary's representative.
(b) An employer or retrospective rating group may be represented by:
(i) An attorney at law with membership in good standing in the Washington state bar association or a paralegal supervised by an attorney at law with membership in good standing in the Washington state bar association.
(ii) An attorney at law with membership in good standing in the highest court of any other state or the District of Columbia.
(iii) A lay representative who is an employee of the employer or retrospective rating group.
(iv) A firm that contracts with the employer or retrospective rating group to handle matters pertaining to industrial insurance.
(c) The department of labor and industries may be represented by:
(i) An attorney employed as assistant attorney general or appointed as a special assistant attorney general.
(ii) A paralegal supervised by an assistant attorney general or special assistant attorney general.
(iii) An employee of the department of labor and industries designated by the director, or his or her designee, in a claim resolution structured settlement agreement under RCW 51.04.063.
(d) A licensed legal intern may represent any party consistent with Washington state admission to practice rule 9(e).
(4) Appeals under the Washington Industrial Safety and Health Act.
(a) In an appeal by an employee or employee representative under the Washington Industrial Safety and Health Act, the cited employer may enter an appearance as prescribed in subsection (7) of this section and will be deemed a party to the appeal.
(b) In an appeal by an employer, under the Washington Industrial Safety and Health Act, an employee or employee representative may enter an appearance as prescribed in subsection (7) of this section and will be deemed a party to the appeal.
(c) A lay representative appearing on behalf of an employee or an employee representative in an appeal under the Washington Industrial Safety and Health Act is not subject to the compensation restrictions of subsection (3) of this section.
(5) May a self-represented party be accompanied by another person? Where the party appears representing himself or herself, he or she may be accompanied, both at conference and at hearing, by a lay person of his or her choosing who shall be permitted to accompany the party into the conference or hearing room and with whom he or she can confer during such procedures. If the lay person is also a witness to the proceeding, the industrial appeals judge may exclude the lay person from the proceeding as provided by Evidence Rule 615.
(6) Assistance by the industrial appeals judge. Although the industrial appeals judge may not advocate for either party, all parties who appear either at conferences or hearings are entitled to the assistance of the industrial appeals judge presiding over the proceeding. Such assistance shall be given in a fair and impartial manner consistent with the industrial appeals judge's responsibilities to the end that all parties are informed of the procedure to be followed and the issues involved in the proceedings. Any party who appears representing himself or herself shall be advised by the industrial appeals judge of the burden of proof required to establish a right to the relief being sought.
(7) How to make an appearance.
(a) Appearance by employer representative. Within fourteen days of receipt of an order granting appeal, any representative of an employer or retrospective rating group must file a written notice of appearance that includes the name, address, and telephone number of the individual who will appear.
(b) Appearances by a worker or beneficiary representative shall be made either by:
(i) Filing a written notice of appearance with the board containing the name of the party to be represented, and the name and address of the representative; or by
(ii) Appearing at the time and place of a conference or hearing on the appeal, and notifying the industrial appeals judge of the party to be represented, and the name and address of the representative.
(8) Notice to other parties.
(a) The appearing party shall furnish copies of every written notice of appearance to all other parties or their representatives of record at the time the original notice is filed with the board.
(b) The board will serve all of its notices and orders on each representative and each party represented. Service upon the representative shall constitute service upon the party. Where more than one individual associated with a firm, or organization, including the office of the attorney general, has made an appearance, service under this subsection shall be satisfied by serving the individual who filed the notice of appeal, or who last filed a written notice of appearance or, if no notice of appeal or written notice of appearance has been filed on behalf of the party, the individual who last appeared at any proceeding concerning the appeal.
(9) Withdrawal or substitution of representatives. An attorney or other representative withdrawing from a case shall immediately notify the board and all parties of record in writing. The notice of withdrawal shall comply with the rules applicable to notices of withdrawal filed with the superior court in civil cases. Withdrawal is subject to approval by the industrial appeals judge or the executive secretary. Any substitution of an attorney or representative shall be accomplished by written notification to the board and to all parties of record together with the written consent of the prior attorney or representative. If such consent cannot be obtained, a written statement of the reason therefor shall be supplied.
(10) Conduct. All persons appearing as counsel or representatives in proceedings before the board or before its industrial appeals judges shall conform to the standards of ethical conduct required of attorneys before the courts of the state of Washington.
(a) Industrial appeals judge. If any such person does not conform to such standard, the industrial appeals judge presiding over the appeal, at his or her discretion and depending on all the circumstances, may take any of the following actions:
(i) Admonish or reprimand such person.
(ii) Exclude such person from further participation or adjourn the proceeding.
(iii) Certify the facts to the appropriate superior court for contempt proceedings as provided in RCW 51.52.100.
(iv) Report the matter to the board.
(b) The board. In its discretion, either upon referral by an industrial appeals judge as stated above or on its own motion, after information comes to light that establishes to the board a question regarding a person's ethical conduct and fitness to practice before the board, and after notice and hearing, the board may take appropriate disciplinary action including, but not limited to:
(i) A letter of reprimand.
(ii) Refusal to permit such person to appear in a representative capacity in any proceeding before the board or its industrial appeals judges.
(iii) Certification of the record to the superior court for contempt proceedings as provided in RCW 51.52.100. If the circumstances require, the board may take action as described above prior to notice and hearing if the conduct or fitness of the person appearing before the board requires immediate action in order to preserve the orderly disposition of the appeal(s).
(c) Proceedings. If any person in proceedings before the board disobeys or resists any lawful order or process, or misbehaves during a hearing or so near the place thereof as to obstruct the same, or neglects to produce, after having been ordered so to do, any pertinent book, paper or document, or refuses to appear after having been subpoenaed, or upon appearing refuses to take oath as a witness, or after having the oath refuses to be examined according to law, the industrial appeals judge may, at his or her discretion and depending on all the circumstances:
(i) Admonish or reprimand such person.
(ii) Exclude such person from further participation or adjourn the proceeding.
(iii) Certify the facts to the appropriate superior court for contempt proceedings as provided in RCW 51.52.100.
(iv) Report the matter to the board for action consistent with (b) of this subsection.
AMENDATORY SECTION (Amending WSR 14-24-105, filed 12/2/14, effective 1/2/15)
WAC 263-12-059 Appeals arising under the Washington Industrial Safety and Health Act; contents of notice of appeal; notice to affected employees; request for stay of abatement pending appeal.
(1) Contents of notice of appeal in WISHA appeals. In all appeals arising under the Washington Industrial Safety and Health Act, the notice of appeal should contain where applicable:
(a) The name and address of the appealing party and of the party's representative, if any.
(b) A statement identifying the citation, penalty assessment, or notice of abatement date appealed from. This requirement may be satisfied by attaching a copy of the citation, penalty assessment, or notice of abatement date.
(c) The name and address of the representative of any labor union representing any employee who was or who may be affected by the alleged safety violation(s). If the employer has no affected employees who are members of a union, the employer shall affirmatively certify that no union employees are affected by the appeal.
(d) The reason why the appealing party considers such order or decision, to be unjust or unlawful.
(e) A statement of facts in full detail in support of each stated reason.
(f) The specific nature and extent of the relief sought.
(g) The place, most convenient to the appealing party and that party's witnesses, where board proceedings are requested to be held.
(h) A statement that the person signing the notice of appeal has read it and that to the best of his or her knowledge the contents are true.
(i) The signature of the appealing party or the party's representative.
In all appeals where a stay of abatement of alleged violation(s) pending appeal is requested, the notice of appeal must comply with additional requirements set forth in subsection (3) of this section.
(2) Employer duty to notify affected employees.
(a) In the case of any appeal by an employer concerning an alleged violation of the Washington Industrial Safety and Health Act, the employer shall give notice of such appeal to its employees by either:
(i) Providing copies of the appeal to each employee member of the employer's safety committee; or
(ii) By posting a copy of the appeal in a conspicuous place at the work site at which the alleged violation occurred. Any posting shall remain during the pendency of the appeal.
(b) The employer shall also provide notice advising interested employees that an appeal has been filed with the board and that any employee or group of employees who wish to participate in the appeal may do so by contacting the board. Such notice shall include the address of the board.
(c) The employer shall file with the board a certificate of proof of compliance with this section within fourteen days of issuance of the board's notice of filing of appeal. A certification form is provided on the board's web site.
(d) If notice as required by this subsection is not possible or has not been satisfied, the employer shall notify the board in writing of the reasons for noncompliance or impossibility. If the board, or its designee, determines that it is not possible for the employer to provide the required notice to employees, it will prescribe the terms and conditions of a substitute procedure reasonably calculated to give notice to affected employees, or may waive the affected-employee-notice requirement. If the employer requests a stay of abatement pending appeal, and desires to assert the claim of impossibility of notice to employees, the employer must include its claim of impossibility, together with facts showing impossibility, in its notice of appeal.
(3) Request for a stay of abatement in WISHA appeals.
(a) How made. Any request for stay of abatement pending appeal must be included in the notice of appeal. An employer may request a stay of abatement pending appeal by placing "STAY OF ABATEMENT REQUESTED" prominently on the first page of the notice of appeal in bold print. The board will issue a final decision on such requests within forty-five working days of the board's notice of filing of appeal.
(b) Union information.
(i) Appeals from corrective notice of redetermination. In appeals where the employer has requested a stay of abatement of the violation(s) alleged in the corrective notice of redetermination, the employer shall include in the notice of appeal the names and addresses of any unions representing workers for the employer as required by subsection (1) of this section. If the employer has no affected employees who are members of a union, the employer shall affirmatively inform the board that no union employees are affected by the appeal.
(ii) Appeals from citation and notice. Where an employer files an appeal from a citation and notice and the department of labor and industries chooses to forward the appeal to the board to be treated as an appeal to the board, the employer shall provide the board with the names and addresses of any unions representing workers for the employer as required by subsection (1) of this section. If the employer has no affected employees who are members of a union, the employer shall inform the board that no union employees are affected by the appeal. The employer shall provide this information to the board within fourteen days of the date of the board's notice of filing of appeal.
(c) Supporting and opposing documents.
(i) Supporting documents. In appeals where the employer has requested a stay of abatement pursuant to RCW 49.17.140, the employer shall, within fourteen calendar days of the date of the board's notice of filing of appeal, file with the board supporting declarations, affidavits, and documents it wishes the board to consider in deciding the request. The employer must also simultaneously provide supporting documents to the department and any affected employees' safety committee or union representative. Supporting affidavits or declarations shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein. Copies of individual relevant supporting documents shall be specifically referred to in the affidavit and shall be attached to the affidavit. Such supporting documents shall not be excluded from consideration based on a hearsay objection. All such affidavits and supporting documents shall be limited to evidence addressing:
(A) Whether there is good cause to stay the abatement of the violation(s) set forth in the citation and notice or corrective notice of redetermination; and
(B) Whether it is more likely than not that a stay of the abatement of the violation(s) would result in death or serious physical harm to a worker.
(ii) Opposing documents. Within twenty-eight calendar days of the date of the board's notice of filing of appeal, the department of labor and industries and any affected employees shall file with the board any declarations, affidavits, and documents they wish the board to consider in deciding the request. The department must also simultaneously serve these opposing documents on the employer and any affected employees' safety committee or representative. The employees must also simultaneously serve the opposing documents on the employer and the department. Supporting and opposing affidavits and declarations shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein. Copies of individual relevant supporting documents shall be specifically referred to in the affidavit and shall be attached to the affidavit. Such supporting documents shall not be excluded from consideration based on a hearsay objection. All such affidavits and supporting documents shall be limited to evidence addressing:
(A) Whether there is good cause to stay the abatement of the violation(s) set forth in the citation and notice or corrective notice of redetermination; and
(B) Whether it is more likely than not that a stay of the abatement of the violation(s) would result in death or serious physical harm to a worker.
(4) Denial of request to stay abatement. If any of the following procedural or substantive grounds are present, the board will deny the request for a stay of abatement pending appeal:
(a) The request for stay of abatement is not contained in the employer's notice of appeal as required by RCW 49.17.140 (4)(a).
(b) The employer fails to include union information as required in subsection (3)(b) of this section.
(c) The employer fails to timely file a certification that its employees have been notified about the appeal and the request for stay of abatement as required in subsection (2) of this section.
(((c))) (d) The employer fails to file supporting documents within fourteen calendar days of the issuance of the board's notice of filing of appeal as required in subsection (3)(c)(i) of this section.
(((d))) (e) The request is moot.
(((e))) (f) The only violation alleged by the department of labor and industries is a general violation.
(((f))) (g) The employer fails to show good cause for a stay of abatement in its supporting documents.
(((g))) (h) The preliminary evidence shows it is more likely than not that a stay would result in death or serious physical harm to a worker.
(5) Expedited nature of requests to stay abatement/requests to enlarge time. Requests to stay abatement pending appeal must be decided in accordance with a strict statutory timeline. Oral argument will not be permitted. The board will grant requests to enlarge time to file documents or certifications only after receipt of a written motion with supporting affidavit filed with the board and all other parties before the filing deadline and only upon a showing of good cause.
AMENDATORY SECTION (Amending WSR 00-23-021, filed 11/7/00, effective 12/8/00)
WAC 263-12-095 Conference procedures.
(1) Scheduling information. If no agreement is reached by the parties as to the final disposition of an appeal, the industrial appeals judge presiding at a settlement conference may direct that the appeal be assigned to an industrial appeals judge for the purpose of scheduling and conducting a hearing in the appeal. Any industrial appeals judge assigned to conduct proceedings in an appeal, or his or her designee may elicit from the parties such information as is necessary and helpful to the orderly scheduling of hearing proceedings and as may aid in expediting the final disposition of the appeal.
(2) Prehearing matters. At any proceeding a stipulation of facts may be obtained to show the board's jurisdiction in the matter. In addition, agreement as to the issues of law and fact presented and the simplification or limitation thereof may be obtained. The industrial appeals judge may also determine: (a) The necessity of amendments to the notice of appeal or other pleadings; (b) the possibility of obtaining admissions of facts and authenticity of documents which will avoid unnecessary proof; (c) the admissibility of exhibits; (d) a stipulation as to all or part of the facts in the case; (e) obtain information as to the number of expert and lay witnesses expected to be called by the parties and their names when possible, the place or places where hearings will be required, the approximate time necessary for the presentation of the evidence of the respective parties, and all other information which may aid in the prompt disposition of the appeal; (f) the limitation of the number of witnesses; (g) the need for interpretive services; (h) exchange of medical and vocational reports and other relevant documents; (i) receive and rule on motions pertaining to ((pre-hearing)) prehearing discovery. These include motions by a party for a vocational evaluation of a claimant which may be granted upon a showing of surprise which ordinary prudence could not have guarded against or upon an equivalent showing of circumstances constituting good cause and upon notice to all parties of the time, place, manner, conditions, and scope of the evaluation and the person or persons by whom it is to be made, provided that the industrial appeals judge shall impose all conditions necessary to avoid delay and prejudice in the timely completion of the appeal.
(3) Record of results of conferences. The results of any conferences shall be stated on the record. The record may be a transcript of the proceeding, a judge's report of proceedings, and/or written interlocutory order. The record shall include, where applicable, agreements concerning issues, admissions, stipulations, witnesses, time and location of hearings, the issues remaining to be determined, and other matters that may expedite the hearing proceedings. The statement of agreement and issues, and rulings of the industrial appeals judge, shall control the subsequent course of the proceedings, subject to modification by the industrial appeals judge or by interlocutory review pursuant to WAC 263-12-115(6).
(4) Failure to supply information. If any party fails to supply the information reasonably necessary to schedule the hearing in a case, the board or the industrial appeals judge may suspend setting a hearing pending receipt of the required information, ((or may)) impose ((such)) conditions upon the presentation of evidence by the defaulting party as may be deemed appropriate, or take other appropriate action as authorized by these rules and the law.
(5) Admissibility of matters disclosed at conference. If no agreement of the parties is reached resolving all issues presented, no offers of settlement, admissions, or statements made by any party shall be admissible at any subsequent proceeding unless they are independently admissible therein.
AMENDATORY SECTION (Amending WSR 14-24-105, filed 12/2/14, effective 1/2/15)
WAC 263-12-116 Exhibits.
(1) Whenever possible, exhibits should be submitted on paper 8 1/2" x 11" in size. A larger version may be shown to the judge or witness for purpose of demonstration and a smaller version marked and offered as the exhibit.
(2) Exhibits containing audio, video, or other electronic material may be submitted on a CD, DVD, flash drive, or similar device, subject to the following conditions:
(()) (a) The party seeking to present the audio/video/electronic material at a hearing must provide the appropriate equipment for hearing/viewing the material.
(()) (b) If the party submitting the material for presentation at a hearing does not provide the equipment needed, the material will not be heard or viewed during the hearing, but the exhibit may be marked into evidence and ruling reserved.
(c) A media exhibit must be in MP4 (MPEG-4 Part 14) format or other industry format specified on the BIIA web site.
(3) The board will not accept any hazardous exhibit. A hazardous exhibit is an exhibit that:
(a) Threatens the health and safety of persons handling the exhibit, including exhibits having potentially toxic, explosive, or disease-carrying characteristics.
(b) Threatens the security of the board's electronic equipment or network. Nonexclusive examples of hazardous exhibits include:
• Biohazards (bodily fluid samples, bloody clothing).
• Used medical implements or devices (surgical screws, cables, plates, pins, prosthetic devices).
• Corrosive or toxic substances.
• Controlled substances (prescription drugs).
• Potential airborne contaminants (asbestos, silica).
• Flammable, explosive, or reactive materials.
• Live ammunition, firearms, knives, and other weapons.
(4) Photographs, videotapes, or other facsimile representations may be used to demonstrate the existence, quantity, and physical characteristics of hazardous evidence consistent with this rule.
(5) If a party is uncertain whether a proposed exhibit conforms to this rule or is not able to bring the necessary equipment to the hearing, that party must request a conference with the judge at least fourteen days before submitting the exhibit, asking the judge to make a determination of conformity or to provide assistance in making the exhibit accessible at the proceeding.
(6) If an exhibit submitted in an appeal under the Washington Industrial Safety and Health Act (chapter 49.17 RCW) implicates a trade secret as set forth in chapter 19.108 RCW, the employer must bring it to the attention of an industrial appeals judge at the time of submission or within a reasonable time thereafter to permit a ruling on the confidentiality of the information and application of RCW 49.17.200 and WAC 263-12-115(5).
AMENDATORY SECTION (Amending WSR 14-24-105, filed 12/2/14, effective 1/2/15)
WAC 263-12-117 Perpetuation depositions.
(1) Evidence by deposition. The industrial appeals judge may permit or require the perpetuation of testimony by deposition, subject to the applicable provisions of WAC 263-12-115. Such ruling may only be given after the industrial appeals judge gives due consideration to:
(a) The complexity of the issues raised by the appeal;
(b) The desirability of having the witness's testimony presented at a hearing;
(c) The costs incurred by the parties in complying with the ruling; and
(d) The fairness to the parties in complying with the ruling.
(2) Telephone depositions: When testimony is taken by perpetuation deposition, it may be taken by telephone if all parties agree. For good cause the industrial appeals judge may permit the parties to take the testimony of a witness by telephone deposition over the objection of a party after weighing the following nonexclusive factors:
• The need of a party to observe a witness's demeanor.
• Difficulty in handling documents and exhibits.
• The number of parties participating in the deposition.
• Whether any of the testimony will need to be translated.
• Ability of the witness to travel.
• Availability of quality telecommunications equipment and service.
If a perpetuation deposition is taken by telephone, the court reporter transcribing the deposition is authorized to swear in the deponent, regardless of the deponent's location within or outside the state of Washington.
(3) The industrial appeals judge may require that depositions be taken and published within prescribed time limits. The time limits may be extended by the industrial appeals judge for good cause. Each party shall bear its own costs except when the industrial appeals judge allocates costs to parties or their representatives.
(4) The party filing a deposition must submit the stenographically reported and transcribed deposition, certification, and exhibits in both a written format ((as well as)) and an electronic format in accordance with procedures established by the board. The following requirements apply to the submission of depositions:
(a) Video depositions will not be considered as part of the record on appeal;
(b) The electronic deposition must be submitted in searchable PDF format;
(c) Exhibits to the deposition ((do not have to be filed electronically but)) must be filed electronically as a single attachment separate from the deposition transcript and certification;
(d) A legible ((hard)) paper copy of all exhibits must accompany the paper ((transcription of the)) deposition((.)) transcript;
(e) Any media exhibit (audio or video) must meet the requirements set forth in WAC 263-12-116; and
(f) If the deposition is not transcribed in a reproducible format or properly submitted it may be excluded from the record.
(5) Procedure at deposition. Unless the parties stipulate or the industrial appeals judge determines otherwise all depositions permitted to be taken for the perpetuation of testimony shall be taken subject to the following conditions:
(a) That all motions and objections, whether to form or otherwise, shall be raised at the time of the deposition and if not raised at such time shall be deemed waived.
(b) That all exhibits shall be marked and identified at the time of the deposition and, if offered into evidence, appended to the deposition.
(c) That the deposition be published without necessity of further conference or hearing at the time it is received by the industrial appeals judge.
(d) That all motions, including offers to admit exhibits and objections raised at the time of the deposition, shall be ruled upon by the industrial appeals judge in the proposed decision and order.
(e) That the deposition may be appended to the record as part of the transcript, and not as an exhibit, without the necessity of being retyped into the record.
AMENDATORY SECTION (Amending WSR 14-24-105, filed 12/2/14, effective 1/2/15)
WAC 263-12-118 Motions.
(1) Definition. A party's written or oral request for the board to take action on a pending appeal is a "motion." Motions must be in writing unless made during a hearing before an industrial appeals judge. The board recognizes that there are two basic categories of motions:
(a) Nondispositive motions. Nondispositive motions include procedural motions, such as motions for a continuance, an extension of time, or to reopen the record; and discovery motions, such as motions in limine or motions to compel or request sanctions.
(b) Dispositive motions. Dispositive motions ask for a decision on one or more of the issues in an appeal or to dismiss the appeal. Examples of dispositive motions are motions to dismiss or motions for summary judgment. See WAC 263-12-11801.
(2) Motions made to the executive secretary. The procedural rules in subsections (3) through (6) of this section do not apply to motions made to the executive secretary for consideration by the three-member board:
(a) Motions for stay of the order on appeal under RCW 51.52.050 (2)(b). (See WAC 263-12-11802.)
(b) Motions to reconsider or vacate final board orders. (See WAC 263-12-156.)
(c) Motions to set reasonable attorneys' fees under RCW 51.52.120. (See WAC 263-12-165.)
(d) Requests for a stay of abatement pending appeal under RCW 49.17.140 (4)(a) in appeals filed under the Washington Industrial Safety and Health Act. (See WAC 263-12-059.)
(3) Written motions ((must be filed separately)). ((Parties must file motions separately from any pleading or other communication with the board. If a motion is contained in another pleading, the first page must clearly indicate in bold print that a motion is contained therein.)) A written motion must identify the action requested on the first page in bold print. See WAC 263-12-01501 (((1)(a))) for other information about ((motions that must be filed with the board at its headquarters in Olympia)) communication and filing.
(4) Oral motions. Any party may bring an oral motion during a hearing, unless prohibited from doing so at the industrial appeals judge's discretion. The industrial appeals judge may provide an opportunity for other parties to respond to any oral motion. The industrial appeals judge may require that an oral motion also be submitted in writing and may provide an opportunity for written response.
(5) Responses to nondispositive motions. Any party who opposes a written nondispositive motion 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 industrial appeals judge may set.
(6) Argument.
(a) Nondispositive motions. All nondispositive motions will be ruled on without oral argument, unless ((oral argument)) it is requested by the parties and approved by the industrial appeals judge, or at the discretion of the industrial appeals judge. Any party may request oral argument by placing "ORAL ARGUMENT REQUESTED" prominently on the first page of the motion or responsive pleading. The time and date for ((hearing on the motion)) oral argument shall be scheduled in advance by contacting the judicial assistant for the assigned industrial appeals judge. Written notice shall be mailed not less than seven calendar days prior to the date set for oral argument, unless waived by the parties.
(b) Dispositive motions. See WAC 263-12-11801.
AMENDATORY SECTION (Amending WSR 00-23-021, filed 11/7/00, effective 12/8/00)
WAC 263-12-145 Petition for review.
(1) Time for filing. Within twenty days from the date of communication of the proposed decision and order to the parties or their representatives of record, any aggrieved party may file with the board a written petition for review. When a petition for review is filed, the failure of any party not aggrieved by the proposed decision and order to file a petition for review shall not be deemed a waiver by such party of any objections or irregularities disclosed by the record.
(2) A petition for review must be filed separately. A petition for review must be filed separately from any other pleading or communication with the board and must note "PETITION FOR REVIEW" prominently on the first page of the submission.
(3) Extensions of time. The board may extend the time for filing a petition for review upon written request of a party filed within twenty days from the date of communication of the proposed decision and order to the parties or their representatives of record. Such extension of time, if granted, will apply to all parties to the appeal. Further extensions of time beyond any initial extension may be allowed only if (a) an application for further extension is filed within twenty days from the date of communication of the proposed decision and order to the parties or their representatives of record or (b) the board, on its own motion or at the request of a party, acts to further extend the time for filing a petition for review before the prior extended time for filing a petition for review has expired.
(((3))) (4) Contents. A petition for review shall set forth in detail the grounds for review. A party filing a petition for review waives all objections or irregularities not specifically set forth therein. A general objection to findings of fact on the ground that the weight of evidence is to the contrary shall not be considered sufficient compliance, unless the objection shall refer to the evidence relied upon in support thereof. A general objection to all evidentiary rulings adverse to the party shall be considered adequate compliance with this rule. If legal issues are involved, the petition for review shall set forth the legal theory relied upon and citation of authority and/or argument in support thereof. The board shall, at the request of any party, provide a copy of the transcript of testimony and other proceedings at the hearing. The requesting party shall sign an ((acknowledgement)) acknowledgment that receipt of the transcript of proceedings shall constitute compliance by the board with any statute requiring service on the party of a certified copy of the testimony.
(((4))) (5) Action by board on petition for review. (a) After receipt of a petition for review, the board shall enter an order within twenty days either: (i) Denying the petition for review, in which case the proposed decision and order shall become the final order of the board, or (ii) granting the petition for review, in which case the board shall within one hundred and eighty days from the date the petition for review was filed issue a final decision and order based upon its review of the record. (b) After twenty days of receipt. If a petition for review is not acted upon by the board it shall be deemed to have been granted. (c) Remands for further hearing.
After review of the record, the board may set aside the proposed decision and order and remand the appeal to the hearing process, with instructions to the industrial appeals judge to whom the appeal is assigned on remand, to dispose of the matter in any manner consistent with chapter 263-12 WAC.
(((5))) (6) Reply to petition for review. Any party may, within ten days of receipt of the board's order granting review, submit a reply to the petition for review, a written brief, or a statement of position regarding the matters to which objections were made, or the board may, on its own motion, require the parties to submit written briefs or statements of position or to appear and present oral argument regarding the matters to which objections were made, within such time and on such terms as may be prescribed.