A party must strictly limit the scope of its compliance filing to the requirements of the final order to which it relates. If the commission finds that a compliance filing varies from the requirements or conditions of the order authorizing or requiring it, either by falling short of or by exceeding the authorization, conditions, or requirements of the order, the commission may reject the filing unless it has preapproved the variance. If the commission accepts in error a compliance filing that does not comply with the order authorizing the filing, the commission's acceptance does not validate the noncompliant elements of the filing.
(1) Filing requirements.
(a) A party who files a compliance filing must make its filing consistent with the filing requirements of the docket authorizing the filing, i.e., file the required number of copies, and serve the filing on all other parties in the docket.
(b) A compliance filing must include the following:
(i) A cover letter that identifies the order to which the filing relates;
(ii) All required tariff sheets; and
(iii) Work papers that clearly demonstrate the derivation of the proposed tariffs.
(2) Service requirement. A party who makes a compliance filing must serve it on each party to the proceeding in which the compliance filing is authorized or required. Service must be initiated on the same day as the filing.
(3) Timing; effective date.
(a) The commission will state in its final order authorizing or requiring a compliance filing the date by which the compliance filing must be made and the effective date that should appear on any tariff sheets that are required as part of a compliance filing. The commission may state the amount of time it will require to examine any proposed compliance tariff sheets between their filing and their proposed effective date.
(b) A compliance filing does not become effective automatically on its stated effective date. Commission action is required before any compliance filing can be effective. The commission may enter an order approving a compliance filing or taking other appropriate action. The commission may delegate to the secretary, by written authorization in individual proceedings, the authority to approve or take other appropriate action with respect to a compliance filing.
(4) Commission action on compliance filing.
(a) The commission may enter an order in any proceeding in which a compliance filing is authorized or required that:
(i) Approves the compliance filing; or
(ii) Rejects a compliance filing or any portion of the filing that apparently fails to comply.
(b) If the commission rejects all or part of a compliance filing, the party may refile. The commission may impose conditions on refiling.
(c) If the commission approves a compliance filing, but later discovers that it failed to recognize that the compliance filing was, in fact, incomplete or did not fully comply with the order authorizing or requiring the filing, the commission may take any necessary and lawful steps to secure full compliance.
[Statutory Authority: RCW 80.01.040
and 80.04.160. WSR 06-16-053 (Docket A-050802, General Order R-536), § 480-07-883, filed 7/27/06, effective 8/27/06; WSR 03-24-028 (General Order R-510, Docket No. A-010648), § 480-07-883, filed 11/24/03, effective 1/1/04.]