Original Notice.

     Preproposal statement of inquiry was filed as WSR 00-04-061.

     Title of Rule: Petition rules, chapter 415-04 WAC.

     Purpose: The department is revising this chapter to bring it up to date and to convert it to plain English.

     Statutory Authority for Adoption: RCW 41.50.050(5).

     Statute Being Implemented: RCW 41.50.050, 41.50.060.

     Summary: The department is revising chapter 415-04 WAC, petition rules, to bring it up to date and to convert it to plain English.

     Reasons Supporting Proposal: The current chapter is outdated and difficult for our customers to understand.

     Name of Agency Personnel Responsible for Drafting: Merry A. Kogut, P.O. Box 48380, Olympia, WA 98504-8380, (360) 664-7291; Implementation and Enforcement: Steve Nelsen, P.O. Box 48380, Olympia, WA 98504-8380, (360) 664-7308.

     Name of Proponent: Department of Retirement Systems, governmental.

     Rule is not necessitated by federal law, federal or state court decision.

     Explanation of Rule, its Purpose, and Anticipated Effects: The department is updating chapter 415-04 WAC to reflect current practice, policy, and procedures, and to make the chapter easier for the department's customers to understand.

     Proposal Changes the Following Existing Rules: The department is updating chapter 415-04 WAC to reflect current practice, policy, and procedures, and to make the chapter easier for the department's customers to understand.

     No small business economic impact statement has been prepared under chapter 19.85 RCW. These amendments have no effect on businesses.

     RCW 34.05.328 does not apply to this rule adoption. The Department of Retirement Systems is not one of the named departments in RCW 34.05.328.

     Hearing Location: Department of Retirement Systems, 6835 Capitol Boulevard, Conference Room 115, Tumwater, WA, on August 22, 2001, at 1:30 p.m.

     Assistance for Persons with Disabilities: Contact the rules coordinator by seven days before the hearing, if possible, phone (360) 664-7291, TTY (360) 586-5450, e-mail merryk@drs.wa.gov.

     Submit Written Comments to: Identify WAC Numbers, Merry A. Kogut, Rules Coordinator, Department of Retirement Systems, P.O. Box 48380, Olympia, WA 98504-8380, e-mail Merryk@drs.wa.gov, fax (360) 753-3166, by 5:00 p.m. on August 22, 2001.

     Date of Intended Adoption: No sooner than August 23, 2001.

July 10, 2001

Merry A. Kogut

Rules Coordinator

OTS-4640.5

AMENDATORY SECTION(Amending WSR 96-16-020, filed 7/29/96, effective 7/29/96)

WAC 415-04-010   ((Petition -- Procedure.)) Definitions.   (((1) The procedure established in this chapter shall apply to all petitions for:

     (a) Service credits;

     (b) Service retirement benefits;

     (c) Membership and membership credits in the retirement systems;

     (d) Disability benefits, except as otherwise provided by law;

     (e) Survivor benefits; and

     (f) Decisions relating to benefit increases provided by RCW 41.16.145 or 41.18.104.

     (2) All applications for review of decisions on requests for pay out of accumulated deferred compensation deferrals due to an unforeseeable emergency shall follow the procedure established in WAC 415-08-015.)) Good reason means a strong reason for failing to respond to a request for information by the petition examiner. A good reason you may need more time to respond to the petition examiner's request for information may include, but is not limited to, the following examples:

     (1) You could not provide information within the requested time period because you were in the hospital, which prevented you from responding; or

     (2) The information that you need to submit is not readily accessible and requires additional time to obtain. If this is the case, you must explain why it will require more time to obtain this information.

[Statutory Authority: RCW 41.50.050 and 41.50.780(11). 96-16-020, § 415-04-010, filed 7/29/96, effective 7/29/96. Statutory Authority: RCW 41.50.050(5) and 34.05.250. 93-11-079, § 415-04-010, filed 5/18/93, effective 6/18/93; Order 4, § 415-04-010, filed 7/27/77.]

     (1) Service credits;

     (2) Service retirement benefits;

     (3) Membership in the retirement systems;

     (4) Disability benefits, except as otherwise provided by law;

     (5) Survivor benefits; and

     (6) Benefit increases provided by RCW 41.16.145 or 41.18.104.

     (7) Deferred compensation accounts, except that review of decisions regarding payments due to unforeseeable emergency, are governed by WAC 415-08-015.

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     (1) Overpayments if the procedures in RCW 41.50.135 or 41.50.138 apply.

     (2) Deferred compensation plan payments because of an unforeseeable emergency (see WAC 415-08-015).

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     (2) You must file the petition ((must be filed)) within one hundred twenty days from the date you received the administrator's decision ((was communicated to the person)).

     (((2))) (3) If ((a person)) you fail((s)) to file ((a timely)) the petition((, the person waives)) within one hundred twenty days, you lose the right to judicial review ((due to)), because of your failure to exhaust administrative remedies as required by RCW 34.05.534.

[Statutory Authority: RCW 41.50.050 and 41.50.780(11). 96-16-020, § 415-04-020, filed 7/29/96, effective 7/29/96. Statutory Authority: RCW 41.50.050(5) and 34.05.250. 93-11-079, § 415-04-020, filed 5/18/93, effective 6/18/93. Statutory Authority: RCW 41.50.050. 91-19-064, § 415-04-020, filed 9/16/91, effective 10/17/91; Order 4, § 415-04-020, filed 7/27/77.]

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     (((1) A complete and detailed statement of the factual situation underlying the application or petition; which may include all relevant documents and sworn statements deemed appropriate by the petitioner;

     (2) A concise but detailed statement of the constitutional, statutory or common law provisions or precedents relied upon by the petitioner in support of his or her petition;

     (3) An identification and signature of the individual or individuals filing the petition, as well as an identification of legal counsel, if any; and

     (4) The address to which the petitioner wishes further correspondence from the department to be sent.)) (1) A statement of what you want the department to do (relief requested) after considering the petition;

     (2) An explanation of why your request has merit;

     (3) All facts relating to the petition, including any relevant documents or sworn statements;

     (4) The name and address of your attorney, if applicable; and

     (5) Your name, address, phone number, fax number, e-mail address, and signature.

[Statutory Authority: RCW 41.50.050 and 41.50.780(11). 96-16-020, § 415-04-030, filed 7/29/96, effective 7/29/96.]

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     Reviser's note: The section above was filed by the agency as WAC 145-04-037. However, the other rules for the Department of Retirement Systems are found in Title 415. The section above appears to be WAC 415-04-037, but pursuant to the requirements of RCW 34.08.040, it is published in the same form as filed by the agency.
AMENDATORY SECTION(Amending WSR 96-16-020, filed 7/29/96, effective 7/29/96)

WAC 415-04-040   ((Time period for processing petition.)) What will the department do after receiving my petition?   (((1) Upon receipt of the petition, the director will assign the same to the director's designee. The director's designee will notify either the employer(s) if the petitioner is a member(s) or the affected member(s) if the applicant or petitioner is an employer(s) of the filing of the petition within fourteen days. Said notification shall request the employer(s) or member(s) to submit any written response to the petition no later than twenty days from the date of receipt of the notice.

     (a) If at any time the director's designee in his or her role as fact finder determines that additional information is necessary to decide the petition, he or she may request such additional information. The person from whom the information is requested will respond no later than within twenty days from the receipt of such request.

     (b) The director's designee may extend the time limit for response if the requesting party shows good cause to do so.

     (2) Upon receipt of the response, the director's designee will forward a copy of the response to the petitioner. The petitioner

will have ten days to reply. If the petitioner does not reply within ten days, he or she waives the right to reply.

     (3) Within sixty days of the expiration of the ten-day period for reply following the director's designee's final request for information, the director's designee shall enter a written decision. The written decision will contain such findings of fact and conclusions of law as he or she deems necessary to dispose of the matter. The decision will be sent to the petitioner via certified mail.)) (1) A petition examiner will review your petition.

     (2) Within fourteen days from the date that you file a petition with the department, the petition examiner will determine whether you have a sufficient stake in the outcome of the proceeding to have the department consider the issues in your petition.

     (a) If the petition examiner determines that you do not have a sufficient stake in the outcome, the petition examiner:

     (i) May refer the matter back to the plan administrator for further investigation.

     (ii) Will notify you of this decision within fourteen days of the date you file the petition. You may appeal this decision to the presiding officer under WAC 415-04-050.

     (b) If the petition examiner determines that you do have a sufficient stake in the outcome, the petition examiner:

     (i) Will notify interested parties, such as the member, current or former employer(s), designated beneficiaries, former spouse or the department, that you filed a petition;

     (ii) Will request that the interested parties submit any written response to the petition no later than twenty days from the date of receipt of the notice;

     (iii) May extend the time limit for response if the interested party shows a good reason to need more time.

     (3) The petition examiner may request additional information at any time.

     (4) The petition examiner will forward a copy of an interested party's response to you.

     (a) You will have ten days to reply.

     (b) The petition examiner may extend your time to respond if you demonstrate that you need more time for good reason.

     (c) If an extension is not granted and you do not reply within ten days, you waive the right to reply.

     (5) The petition examiner will issue a written decision within sixty days of:

     (a) The end of your final period to reply under subsection (4) of this section; or

     (b) Receipt of additional information from the department or the office of the attorney general necessary to make a decision.

     (6) The written decision will include the findings of fact and conclusions of law necessary to decide the matter. The decision will be sent to you and to other interested parties.

     (7) The petition examiner may refer the petition back to the plan administrator for an administrative determination without issuing a petition decision if:

     (a) The petition adds new issues or facts that have not been addressed in the plan administrator's final determination; or

     (b) The plan administrator did not have access to a petition decision or final order of the department that would have changed the outcome of the administrative determination.

[Statutory Authority: RCW 41.50.050 and 41.50.780(11). 96-16-020, § 415-04-040, filed 7/29/96, effective 7/29/96.]

     (1) An appeal must be filed with the)) (1) You may file an appeal of the petition decision with the department's director no later than sixty days after ((petitioner's receipt of)) you receive the petition decision ((in accordance with the procedures established by chapter 415-08 WAC)).

     (2) You must follow the procedures in chapter 415-08 WAC in filing your appeal.

     (3) If ((a party)) you fail((s)) to file ((a timely)) your appeal ((the party waives the)) within sixty days, you lose your right to judicial review ((due to the)), because of your failure to exhaust administrative remedies as required by RCW 34.05.534.

[Statutory Authority: RCW 41.50.050 and 41.50.780(11). 96-16-020, § 415-04-050, filed 7/29/96, effective 7/29/96.]

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