I want to . . .
Topics covered in this FAQ include:
The basics
Working in EAMS
Injured worker-specific questions
Claims administrator-specific questions
EAMS training and resources
Filing in EAMS
Uniform assigned names
Filing OCR forms
The OCR cover sheet
The OCR document separator sheet
Document scanning
Filing e-forms
Participating in an e-forms trial
Calendaring/scheduling
Conducting hearings
Hardware/software
Correspondence/serving parties
Electronic data exchange system (EDEX)
Lien claimant-specific questions
Q: What is EAMS?
A: EAMS is a computer based system that will simplify and improve the DWC case management process to more efficiently resolve claims, improve the ability to schedule and manage court calendars, allow files to be shared between multiple users and transform paper files into secure electronic files, reducing the need for physical storage space at local DWC offices and the State Records Center.
Q: Why did we change to this new system?
A: The DWC was operating with a 30-year-old system, the inefficiency of which was long acknowledged. The goals of EAMS are to better serve injured workers and employers by eliminating redundancy, creating efficiency in the system and making the system more accessible to users, while preserving confidentiality. EAMS will reduce environmental and physical stress, along with injuries to DWC employees, and help guide policy decisions to better distribute resources.
Q: When will EAMS first be useable?
A: The implementation of EAMS will take place in two stages, beginning with DWC administration and district offices. After the new system has been successfully implemented at the division, EAMS will become accessible to case participants and the general public.
EAMS went live internally at the state's 24 district offices on Aug. 25.
Q: How can I stay up to date on the project?
A: DWC has designed an EAMS newsletter, Insider, that is emailed to subscribers. Sign up at eams@dir.ca.gov. There is also an EAMS page on the State of California Website, www.dwc.ca.gov/eams.
Q: Why does EAMS use new terms, rather than the terms we are all familiar with, and where can I get a list of the new terms?
A: EAMS is built using "commercial, off the shelf software," which means it has a solid foundation and is more easily upgradeable. The downside of this choice is that the software isn't designed just for workers' comp-meaning we all have to adjust our thinking somewhat to reflect the way the program works. You can find a glossary of the new terms at www.dwc.ca.gov/eams.
Q: Will I receive training on how to use EAMS?
A: Yes. See the "training and resources" section of this FAQ for more information.
Q: How will cases be created in EAMS?
A: There are only two ways to create a case in EAMS: e-forms or optical character recognition (OCR) paper forms. See the e-forms and OCR forms sections of this FAQ for more information.
Q: Will case information be kept confidential?
A: Case information that is statutorily required to be kept confidential will be accessible only to authorized users in accordance with the law. Applicants will have access to all information about their case including sensitive medical or psychological reports. Requests for access to any case information by persons who are not parties to the case will be handled as Public Records Act requests. This will include redaction of information as required.
Q: May an attorney file medical reports and other documents before an MSC, rather than bring them to the MSC?
A: No. The proposed regulations require parties to file any AME, QME or PTP reports not previously filed with the DWC district office, which are relevant to the issue(s) raised on the DOR. No other documents may be filed with the DOR. The regulations require parties to bring and submit all relevant reports and documents, at the time of the MSC should the issues not be resolved at the MSC and the case is to be set for trial. Non-relevant documents are not to be filed with the district office. When documents must be filed is dictated by various sections of the Labor Code and new regulations. Consult your legal experts for further legal advice.
Q: May a defense attorney representing an insurance carrier or TPA pull up their client's information and update (edit) it?
A: No. EAMS uses a "uniform assigned names" list for claims administrators and representatives. Changes to those entities' names or addresses must be handled through the DWC's Central Registration Unit. Whenever filling out any form, parties must obtain and use the exact assigned name the claims administrator or representative, as shown on the central registration list. Forms submitted with information different from that listed in the Central Registration Unit will go into the unprocessed document queue with other such documents needing correction. A DWC clerk will attempt to discern the intent of the filer and either correct simple errors or return the filing to the sender, both of which will delay processing of your filings.
Claims administrators, law firms, lien claimants and others will need to develop internal systems for assuring accuracy in filing.
Q: We have specific operational issues not shared by most external users. Who can answer our specific questions?
A: You may request a targeted consultation from us, in which we will give you whatever assistance we can with such issues. We will be happy to set up a conference call between your operational and technical decision makers and our external user experts. E-mail us at eams@dir.ca.gov and put "targeted consultation request" in the subject line of your e-mail.
Q: I was injured at work and am not getting medical treatment. How do I file a claim in EAMS?
A: Basically, the same way you would have before EAMS. Your first step is to be sure you have talked to your employer and filed a workers' compensation claim with your employer. If you have done this and you are not getting benefits, or your employer has denied your claim, you should contact a DWC information and assistance officer at your local office. The information and assistance officer can help you, free of charge, understand the system and file any paperwork needed to help you resolve your problem.
If you need to file a form in EAMS, the form will be different because it will be scanned into a digital case file instead of a paper case file, but the laws regarding your rights have not changed.
Q: If I am filing a new case that has not yet been assigned a case number, do I still write “Unassigned” in the space for the case number?
A: No. Check the “Yes” box at the top of the document cover sheet indicating a new claim, then leave any spaces for the case number blank. EAMS will automatically assign a case number.
Q: We have received notices of hearings with the new ADJ case numbers and no reference to the old WCAB case number. How can we cross-reference the numbers?
A: Go to the EAMS Web site at www.dwc.ca.gov/eams and click on the new EAMS and legacy case number lookup tool. If you know either number, you can use this page to look up the corresponding case number.
Q: I am trying to determine the status of a case. After I fill out all the information on the general public search, I click on the search button and all the information disappears. How can I get the information I need?
A: The general public search will only show status on cases that have upcoming hearings. If the case is not active, you will not get a return and the entry will disappear. There is no way to save the entry information.
Please note that the general public search tool works on an “exact match” basis. That is, if searching for a case using the case number, the number must match exactly. For example, if the case number is ADJ0123456 you must enter it exactly that way. If you enter ADJ 0123456 you will not get a match. If you enter 0123456 you will not get a match. Also, the three-letter prefix for the EAMS case number (ADJ) must always be capitalized
Q: May either the claims adjuster or an unrepresented injured worker fill out and file the DEU form 102?
A: Yes.
Q: Once EAMS is available and medical reports are scanned, is it necessary to continue to place medical reports in chronological order before filing at the district office?
A: The only requirements are those in regulations, not by EAMS software. It is always advisable to file reports in chronological order for ease of finding or referring to reports later. Remember, only medical reports relevant to the matter in dispute are filed if the case proceeds to trial and only relevant AME, QME and PTP reports are filed with the DOR.
Q: When will training for external users be available?
A: Information and training materials for both e-forms and OCR forms users is available on the EAMS "working in EAMS” Web site. The materials include computer based training, an OCR forms handbook and file setup examples, a timeline, a decision point presentation and a forms submission demo. The division is working with a team of external users to prepare additional advisory and training materials.
Train the trainers were sessions were held in Los Angeles, Oakland and Sacramento in September. Sign up for the DWC Newsline to get information about other training sessions.
Q: I have completed the computer based training for external users. What do I need to do now in order to take the CBT certification test?
A: The certification for those who complete the CBT will be posted soon. When it is, you will find it posted on the same Web page as the CBT.
Q: May I continue to file the old forms and documents in the same manner after EAMS goes live on Aug. 25, 2008?
A: Until the regulations requiring use of optical character recognition (OCR) forms become effective, the DWC will continue to accept the old (current) forms. However, since the new OCR forms are available and work best in EAMS, external users are encouraged to use them.
Once the EAMS regulations requiring use of OCR forms are in effect—likely in early November—all filings must be on the new forms. In the interim, documents filed on old forms will require DWC clerks to convert the data on the old forms onto the new forms, which could result in backlogs and delays in filing. So, although you're not required to use the new forms until regulations become effective, it is in the best interest of all parties, and the workers' compensation system as a whole, to start using the new forms now.
Q: What about electronic forms?
A: Electronic forms, or e-forms, are filed over the Web into EAMS and require a log-on and password to access. E-form filing is now available to a selected group of volunteer external users who are participating in an "e-forms trial." Part of the reason for the e-forms trial is to help DWC develop its e-form filing regulations. Once those rules go into effect, e-forms will become generally available to external users. See the EAMS filing method timeline for more information about the timing of filing options in EAMS.
Q: What is the difference between filing OCR forms and filing e-forms?
A: The basic difference is that e-forms are electronic and OCR forms are paper. Currently there are only two ways to get information into EAMS: by e-forms, which are submitted electronically over the Web, and by optical character recognition (OCR) paper forms, which are scanned into EAMS at the district offices.
For more information about these two filing methods, check out the forms submission demonstration, the decision point presentation and the written information available on the “working in EAMS” Web site.. You will need to make a decision as soon as possible regarding which method you intend to use.
Q: Can you tell me more about OCR forms?
A: External users may go to the DWC's Web site , fill out and print any of the OCR forms, then submit the paper form, along with supporting documents, via mail or in person, to the district office for filing. See DWC's OCR forms submission handbook for details on filing using OCR forms.
Q: Can you tell me more about e-forms?
A: E-forms are filled out within EAMS, which requires using a log-on and password for access. Organizations or entities that have volunteered and were selected to file all forms and documents electronically in the e-forms trial, and who have completed the EAMS computer based training (CBT), have received a log-on and password enabling them to access EAMS, fill out e-forms online, attach electronic documents, (such as medical reports, in a process similar to adding an attachment to an e-mail), submit the forms and attachments to EAMS and receive confirmation of their filing, all online.
Log-ons and passwords will become generally available for other external users once e-form regulations have been finalized. For information on how to participate in an e-forms trial, refer to the training and resources questions in this FAQ.
Q: If we submit OCR documents on a pro per claim and later assign counsel, will they have to also submit OCR documents, or may they file electronically?
A: Only those in the e-forms trial can submit forms electronically, and those who are in the e-forms trial must submit all their forms electronically (except under very limited circumstances). So, if you are an OCR filer and you bring in a defense attorney whose office is in the e-forms trial, the defense firm must make all their submissions by e-form—they will not be limited to the filing method you are using. However, they must file a “Notice of Representation” in order to be linked to the case.
Q: Are all attorneys required to file using e-forms?
A: No. Once the e-form regulations are developed and promulgated, all parties, (including unrepresented injured workers, with information and assistance officer guidance), will have the option of filing using either OCR forms or e-forms.
Q: What will happen if I continue to file documents using only the old legacy file numbers?
A: All existing cases will have both a legacy file number and a new EAMS case number, so whichever number you use will associate your documents to the correct file. It is strongly suggested that you use the EAMS case number if you have it. New cases will only have an EAMS case number.
Q: Legally, when will a document be considered filed in EAMS-when it is received by the district office or when it is scanned into EAMS at the district office?
A: It is filed when it is received by the district office (proposed regulation § 10230).
Q: Can we still walk through DOR’s for approval at the local boards?A: No. Once the new EAMS regulations become effective, DOR’s cannot be walked through. Proposed regulation §10280 allows the following documents to be walked through:
- Compromise & release
- Stipulations with request for award
- Petitions for attorneys fees (Vocational rehabilitation or for Labor Code 5710 fees)
- Petitions to compel attendance at a medical examination or deposition.
Q: When do I file medical reports and documents?
A: The proposed regulations require parties to file with their DOR, any AME, QME or PTP reports not previously file with the DWC district office, which are relevant to the issue(s) raised on the DOR. No other documents may be filed with the DOR. The regulations require parties to bring and submit all relevant reports and documents, at the time of the MSC, should the issues not be resolved by MSC and the case is to be set for trial. Non-relevant documents are not to be filed with the district office. When documents must be filed is dictated by various sections of the Labor Code and new regulations. Proposed regulation §10233 addresses part of your question, but you may want to consult your legal experts for further legal advice.
Q: The proposed regulations state documents filed must not exceed 25 pages. What do I do if a medical report is over 25 pages?
A: Medical reports are an exception to the 25-page rule.
Q: Since proposed regulations have a way of changing, how can the division expect stakeholders to re-program systems and be ready to file OCR forms before the regulations are finalized?
A: There is no question that EAMS will cause transitional issues for both internal and external users in the short run, but EAMS is a practical necessity that in the long run will make life better for everyone. As DWC continues to implement EAMS, it continues to develop a variety of options to mitigate the transitional issues to the extent possible within the scope of the project.
One mitigation tool that has been adopted is temporary CD filing for those who already have their documents in an electronic format but cannot be ready to file using OCR forms before regulations requiring them become effective. This temporary filing option is available between Sept. 2, 2008 and the effective date of the EAMS regulations (expected to be mid-November ) and allows users to submit electronic "legacy" forms and supporting documents to the district office in a specific format on CD. For more information, visit the EAMS "“working in EAMS” Web site.
Q: Is it mandatory to use the uniform assigned name for claims administrators and representatives?
A: Yes. If your firm or organization’s name exists in the database it must be used. If you are a claims administrator or representative and your firm or organization’s name is NOT in the database, you need to register promptly. See the UAN main page for instructions on doing this.
The use of uniform assigned names associates parties to the EAMS cases correctly and uniformly, thus avoiding unnecessary delays.
Q: After I submit a request for a uniform name, will I receive a response from the Central Registration Unit, or will the uniform name just appear on the list?
A: If your request was submitted correctly, the new assigned name or information will be posted within 10 days of receipt of the request. You will receive a response only if your request was submitted incorrectly.
Q: How can I know whether or not a claims administrator is listed in the uniform assigned names database?
A: Go to the DWC Web site at www.dwc.ca.gov/eams. Click on the link to the uniform assigned names database for claims administrator offices and representative offices under “working in EAMS.” This database can be used to identify whether a uniform assigned name exists for an administrator or a representative. The name may differ slightly from what you would expect it to look like. If you cannot find the name but think it is in the database, try searching by using the first three letters of the name you would expect to find and the ZIP Code.
If the name is not listed, you are advised to contact that firm and have them submit a request to be added to the database through the Central Registration Unit. Requests may be submitted by e-mail to cru@dir.ca.gov or by fax to (888) 822-9309.
The direct link to the uniform assigned names main page is http://www.dir.ca.gov/dwc/eams/EAMS-LC/EAMS_ClaimsAdmins_Reps.htm
Q: We have repeatedly contacted a certain claims administrator and let them know they need to register. Do we have to wait for them to register? What if they never do?
A: No. You do not have to wait for them. You can get them registered by sending all the information you have about them, along with a letter explaining your effort to get them to register, to the Central Registration Unit. The CRU will, in turn, contact the entity and get them registered.
Q: If I need to file an OCR form immediately and cannot wait for the uniform name to be assigned, can I just use the regular name in the field and submit it that way?
A: If necessary, you may use the regular name until a uniform name is assigned. However, this will produce a scanning error, which will send the form to the unprocessed documents queue where it will have to be manually handled by a DWC employee. This will result in a delay until the participant can be registered in the uniform assigned names database.
Q: Where do I use the uniform assigned name for my organization?
A: On all forms that have a field designated for claims administrator and in the “author” field of the document separator sheet if someone in your organization filled out the form or documentation that follows the separator sheet in the file.
Q: What if the form has a field for both claims administrator and insurance carrier information, such as the application for adjudication or the compromise and release?
A: Use the uniform assigned name of your organization in the claims administrator field and the formal name of the insurance carrier in the insurance carrier field. You must fill in the insurance carrier field on these forms, even if it is the same organization. For example, if the State Compensation Insurance Fund was submitting a C&R in a case, the filer would put the uniform assigned name, such as SCIF INSURED GLENDALE, in the field for claims administrator, and STATE COMPENSATION INSURANCE FUND in the field for insurance carrier.
Q: If a have SCIF case, how can I identify which claims administrator’s office it belongs to if all I have is an address common to many offices?
A: You will have to contact SCIF to get that information if they do not indicate on their correspondence which uniform name to use when submitting documents intended for a particular office.
Q: We are a self-insured, self-administered employer, so there is no insurance carrier or third-party administrator. Would we leave the carrier/administrator field blank and just fill in the employer?
A:No. Since you are self administered, you are a claims administrator and have a uniform assigned name (or should). A good example of this is Kaiser Permanente—their uniform assigned name (UAN) is KAISER OAKLAND.
When filling out the form you would check the self-insured box, fill in your UAN in the claims administrator field on the form, and in the author field on the separator sheet if you are the entity filling out the form that follows the separator sheet.
To find your uniform assigned name, check the UAN database. If you are a self-insured, self-administered employer and are not listed there, follow the instructions under “changing or adding a name to the database” on the UAN main page.
Q: We have several satellite offices, but mail is generated and received only at our main office. Do we need to add the satellite office locations to the uniform assigned names database?
A: Based on your description of the function of the various offices, you do not need to register the satellite offices. The purpose of registering offices on the uniform assigned names database is to ensure that related parties are properly associated to their cases in EAMS.
Q: When we submit a form, does the address have to be the same one that you have listed for us on the uniform assigned name database, or can we use an alternate address?
A: You should use the uniform assigned name and address just as it was registered by your office on the database.
Q: Is there an FTP site available to download the uniform assigned name files? If so, how do I gain access?
A: For those with FTP capability, the files are available via FTP to www.dir.ca.gov, anonymous login. Once you have logged onto the FTP site, request the file named EAMSClaimsAdmins.txt or EAMSReps.txt.
Q: The format of the uniform assigned names seems unusual. How are the names generated?
A: To fit within the available space, names are often abbreviated. Law firm names include no more than the first two principals’ last names. Sole practitioners are listed by their first name and then last name, unless they use only their last name or always use their first initial. Uniform names have no punctuation or special characters, only capital letters A through Z and spaces. Each uniform name in EAMS is a combination of the name of the office and the city in which the office is physically located. Example: ACCELERATED CLAIMS IRVINE. Address standardization is in accordance with United States Postal Service (USPS) standards. Additional information about the naming convention can be found at http://www.dir.ca.gov/dwc/EAMS/EAMS-LC/EAMS_ClaimsAdmins_Reps.htmQ: How many new OCR forms will there be and when will external users have access to the new OCR forms?
A: There are over 30 EAMS OCR forms and about the same number of e-forms. The current OCR forms are in EAMS rulemaking but there is a fillable/printable version of the forms available for use now on the forms page of the DWC Web site.
Q: When will the regulations requiring use of the OCR forms become effective?
A: The target date is early November 2008 for the effective date of the regulations.
Q: If I am filing multiple forms for several different cases at one district office, may I place them all in one large envelope for mailing? Since staples are not permitted, can clips be used to keep the documents together in the correct order?
A: You may place all of the documents in the same envelope, but be sure the envelope is large enough to keep documents from becoming wrinkled or folded. Paper clips and binder clips may be used to keep the documents together as long as the clips do not cause folds, wrinkles, dents, or tears to the documents.
Q: The OCR handbook states that documents filed may not exceed 25 pages. Does this limit include the separator sheets & cover page?
A: The 25-page rule does not include the document separator sheet and document cover sheet. Medical reports are also an exception to the rule.
Q: I have a deposition transcript to be filed as a trial exhibit that is well over 25 pages. How would I handle this?
A: You would submit only the portions of the deposition that you will be referring to during the trial. It would also be a good idea to include the front cover sheet of the deposition that includes additional information pertaining to the deposition. Do not submit the entire deposition.
Q: According to the handbook, all OCR forms are to be submitted in serif font. The letterhead our firm presently uses is in Arial. If we submit a letter which is typed in Times New Roman on our letterhead, will it scan properly?
A: The fields where EAMS picks up information must be typed in serif font for optimal recognition of the characters. EAMS will not need to pick up information from your letterhead, so serif font is not necessary and you may continue to use your existing letterhead.
Q: What if my company cannot start using the OCR forms yet? Is there anything else we can do to help avoid district office scanning backlogs, and to move our files through the system as fast as possible?
A: Yes. While the division understands that some institutions face business constraints regarding EAMS implementation, it benefits everyone to use the new forms as soon as possible. It may not be possible for some groups to be ready to use e-forms or OCR forms right away, but everyone should begin prepping files without binders, clips, two-hole punches, staples, sticky notes or folds.
If it is impossible to use OCR forms as of 8/25/08, at least prepare the OCR cover sheets and separator sheets to accompany your old documents, which will help avoid a backlog of documents requiring DWC clerk preparation of the cover sheets and separator sheets.
The more voluntary compliance the division gets with the use of new OCR forms, new cover sheets and separator sheets, the easier it will be for everyone to process files in EAMS.
Q: My documents are already in electronic format. Can I file my documents by CD?
A: Yes. Between Sept. 2, 2008 and the date on which regulations requiring use of OCR forms become effective—likely in early November—a temporary CD filing option is available for those who already have their documents in an electronic format, but who are not ready to file using OCR forms. This temporary filing option allows users to submit electronic "legacy" forms and supporting documents to the district office in a specific format on CD. For more information, visit the “working in EAMS” Web site.
Q: Can we develop our own versions of DWC's forms that work in case management systems to autopopulate the forms?
A: Yes. DWC designed its forms to be "autopopulate ready." That means that while the DWC OCR forms can't be plugged into the autopopulate feature of your case management software as is, the version of the forms on the Web site can be tweaked to do just that. Your forms developer must test the forms it creates to be sure they will function with EAMS in an equivalent manner as the division's forms (proposed court administrator rule 10228 ). To facilitate this, the DWC has set up a forms developers' testing lab for external users.
Q: I've heard forms vendors have been working with DWC to make their forms EAMS-compatible. How can I get a list of approved software forms vendors?
A: While many forms developers have been working with DWC to test their forms to ensure they will work in EAMS, the DWC will not certify software vendors or forms developers. It is the vendor's responsibility to ensure compatibility of their forms with DWC scanners. DWC has provided the forms testing lab for that purpose. A vendor's visit to our testing lab does not ensure their developed forms are compatible with EAMS. Therefore, DWC will not be releasing a list of the vendors who have visited the lab.
If you'd like to use the lab to test your forms, contact EAMS@dir.ca.gov and put "OCR Forms Testing Lab" in the subject line of your e-mail.
DWC's OCR forms are available on the EAMS Web site.
Important printing note: The preferred method for most of the forms which will yield the best results from our testing of various printers from Adobe is: "Fit to Printable Area" with "Center and Autorotate" turned on and zoom factor at 96 percent. Other print options may not result in as good results.
Q: When will the final version of the OCR forms be released and will DWC release the technical specs for these forms to developers?
A: A useable version of the forms is posted on the forms page of DWC's Web site. Testing of versions of the forms developers can provide to external users for use in case management systems will continue in DWC's forms testing lab. We are releasing all the information and technical specifications we have about the forms to developers as the process evolves.
Q: Can we save filled OCR forms into our own computer system?
A: It is possible to save filled out EAMS OCR forms with all the information you entered, but it requires that you have a full version of ADOBE Acrobat - not just the free ADOBE Acrobat Reader - installed on your computer. There may be other software available on the market that can perform this task also. But from the DWC Web site alone, without additional software installed on your computer, you are only able to save a blank OCR form.
Q: Is it OK for users to print and reuse blank OCR forms from the Web site? Our clients will most likely need to print out blank forms from the Web site, manually fill out the forms (on a typewriter), and then mail them in.
A: Forms may be printed out individually from the Web site, but you must submit the original or a first generation copy to the district office. Copies of copies cannot be read bv the scanners. You may refer to the OCR handbook at http://www.dir.ca.gov/dwc/eams/SampleFiles/EAMS_OCR%20handbook.pdf for more information.
Q: Should I list the old legacy file number on EAMS forms or the new EAMS case number?
A: All forms will accept either number. If the case is filed on or after Aug. 25, 2008 it will only have an EAMS case number. When a new case is opened in EAMS you will be notified of the new EAMS case number by your selected method of service: U.S. mail, e-mail, or fax. If it's a legacy case and you have both the legacy case number and the EAMS case number, it is strongly suggested that you use the EAMS case number. New cases will only have an EAMS case number.
Q: How do I prepare and file documents that require signatures, such as a C&R?
A: Click on the OCR C&R form from the DWC forms page , fill it out, print it using the Adobe print icon, circulate it for signatures, then mail it or hand deliver it to the district office. The order of the documents should be: Cover sheet, separator sheet, C&R and addendums, separator sheet, first supporting document, such as one AME report, separator sheet, another medical report, separator sheet, other supporting document, etc., separator sheet, proof of service.
Click here to see an example of how to set this file up for submission.
The batch of documents will be scanned in and routed to the appropriate judge for approval.
Remember, for settlements involving unrepresented workers, where the settlement documents are being submitted by the claims adjuster, you must include a copy of the panel QME letter sent to the applicant.
Q: Will I still be able to get a settlement approved as a walk through?
A: If you wish to walk through a settlement and there is an existing legacy file or EAMS file, bring the settlement and supporting documents to the district office with venue. If a judge previously rejected the settlement or took testimony in the case, you must go to that judge for approval. Otherwise, you may take the settlement documents to an assigned walk through judge for review and approval.
If the settlement is an opening document, it must be mailed or hand carried to the district office for scanning by 12 noon the day prior to the walk through. Parties may return the following day between 8 a.m. and 11 a.m. or between 1 p.m. and 4 p.m., and proceed to the assigned walk through judge for review and approval of the settlement.Please see the OCR form filing handbook for further details.
Important printing note: The preferred method for most of the forms which will yield the best results from our testing of various printers from Adobe is: "Fit to Printable Area" with "Center and Autorotate" turned on and zoom factor at 96 percent. Other print options may not result in as good results.
Q: I notice that the OCR DOR form has space for only one case number. If an injured worker has multiple cases, will I need to file a separate DOR for each relevant case?
A: No. A single DOR is sufficient if the document cover sheet lists all the cases to be included in the DOR. At the “Hearing Case” level, EAMS will automatically link all cases listed on the cover sheet as companion cases and designate the first as the “driver” case for the purposes of scheduling.
Companion cases you would select a “lead” case number and indicate it on the OCR DOR form. You then would indicate the companion cases on the OCR Cover Sheet-allows up to 15.
Q: On the attorney information sections of the OCR forms, are we required to enter both the law firm number and the law firm name?
A: You only need to enter your uniform assigned name, and that will enable EAMS to access all of your other information.
Q: I am sending a “Request for Qualified Medical Evaluator” form to the Medical Unit at the Oakland address. Do I need to include a document cover sheet and separator sheet as well?
A: No. Requests for panel QME’s are processed in the same way they were prior to EAMS. No cover sheet or separator sheet is needed.
Q: If I file multiple OCR forms or documents, do I need a document cover sheet for each?
A: The OCR document cover sheet is a six-page form that allows you to file forms and documents in up to 15 cases in a specific unit for one injured worker. The cover sheet tells EAMS who is filing the forms and documents, which file they belong in, and what to do with them, such as route them to a judge for review and action. Only one cover sheet is needed for each set of forms that pertain to that injured worker. A separator sheet is filed with each document to tell EAMS where the document is to be stored in the file, so that it can be retrieved easily without searching the entire file.
Q: If there are fewer than 15 cases, is it necessary to file all six pages of the document cover sheet?
A: No. Do not file blank pages with the cover sheet.
Q: For an existing case, is it necessary to list the date of injury and all body parts on each document cover sheet that is filled out?
A: No. Check the “No” box at the top of the cover sheet indicating that the case is not new. EAMS will already contain date of injury and body part information for existing cases. If the case is new, the “Yes” box must be checked at the top of the cover sheet and the date of injury and body parts must be listed on the cover sheet as well as the application.
Q: Is the date field on the upper left side of the document cover sheet used for the date the cover sheet is being prepared, or the date of a specific injury?
A: It is the date the cover sheet is being prepared. For a specific injury, the single date would go in the same field as the start date for a cumulative injury.
Q: Where can I find the list of three-digit codes for the body part drop down menus on the OCR cover sheet?
A: You can find the three-digit body part codes on the last page of the cover sheet. These are the only body part codes EAMS will recognize.
Q: I am trying to file an OCR “Application for Adjudication” on an injured worker who has more than five body parts involved. The document cover sheet only allows me to list five body parts. Where do I show the additional body parts?
A: The body part codes contain options that allow for multiple parts. For example, code number 148 is: Face - multiple parts any combination of above parts (which refers to other face-related body part codes list above number 148 in the list). Using these combination codes allows you to list multiple parts. Additionally, code 700, which allows for multiple parts where more than five major parts are involved, can be used in the fifth position (only) of the body parts list on the cover sheet. You can provide more specific details in the comments or explanation section of the form itself. If you need to, as a last resort, you can attach an addendum to the form you are submitting and list the additional body parts and details there.
Q: There is a listing of district office codes with the document cover sheet, but I can’t find a place for them on the form. Where would the code be inserted?
A: The district office code is not used on the cover sheet. It is provided as a reference for use on other forms where it is required, for example on the “Application for Adjudication.”
Please note that when filing the “Application for Adjudication” the venue is determined by one of three options:
- County of residence of employee (Labor Code section 5501.5(a)(1) or (d).)
- County where injury occurred (Labor Code section 5501.5(a)(2) or (d).)
- County of principal place of business of employee’s attorney (Labor Code section 5501.5(a)(3).)
The district office code you type into the form must be related to one of the three options for venue selection.
Q: In the space for case number on the document cover sheet, can I just type in the numerals since the box below for unit to be filed on must be checked?
A: No. You should always enter the case number in its entirety, including the capitalized three-letter prefix. Example: ADJ1233433.
Q: In what instances would you select INT as the product delivery unit on the document cover sheet?
A: INT is the integrated case, which holds overarching information and contains the unit specific product delivery cases. As an external user, you will never select the INT case. You will select ADJ for an adjudication form or document, DEU for the Disability Evaluation/Rating unit, VOC for Vocational Rehabilitation, RSU for Return to Work/Supplemental Job Displacement Benefit, UEF for an Uninsured Employers Benefit Trust case, or SIF for a Subsequent Injuries Fund Benefit Trust case.
Q: Is it required that copies of the document cover sheet and separator sheets be included when serving filed documents on the other parties?
A: No. The cover sheet and separator sheets are for scanning purposes only.
Please see the OCR form filing handbook for further details.
Q: On the document separator sheet, does the author’s name need to match our uniform assigned name in the database (i.e. our firm name), or should it contain the name of an individual from our firm? What would we use as the document date?
A: The author field on the document separator sheet must match the uniform assigned of your firm, if your firm is the entity filling out the form that follows the separator sheet. For example, if you are an attorney filing a “Declaration of Readiness to Proceed” you would put the uniform assigned name of your firm in the author field on the separator sheet preceding your OCR DOR form. If you submit a medical report with that DOR, the author of that document is the medical provider who authored the report. You would fill in the doctor’s name in the author field like this: JOHN SMITH MD. Note, there are no special characters, no periods, commas, etc. Simply type in the first name, last name and the practitioner’s designation (MD, DO, PT, etc.) in all caps.
The document date is the date at the beginning of the document that shows when that document was written or produced. In the above example, on the separator sheet preceding the DOR, the date is the date you filled it out. The date on the separator sheet preceding the medical report is the date the report was authored.
Q: On the document separator sheet, is there a way to find the document title I am looking for without checking through all of the document types in the drop down menus?
A: When you open the document separator sheet, you will see two PDF links on the upper left side of the screen. Clicking on the bottom link will open a list of all of the document titles, showing the product delivery unit (ADJ, RSU, VOC, DEU), document type and document titles available for each unit.
You can only use the document titles that go with the document type and the product delivery unit into which you are filing the document. For example, if filing a document into product delivery unit DEU, under document type MEDICAL REPORTS, the document titles available are:
- AME
- DEFAULT QME (represented with DOI on/after 1-1-05)
- PANEL QME (non-represented all DOI)
- REPRESENTED QME (represented with DOI before 1-1-05)
- TREATING PHYSICIAN
Do not write in a document title that is not shown on the list for that document type and product delivery unit, as EAMS will not accept it.
Q: In cases where we have multiple sets of subpoenaed records and we are submitting multiple documents from each set as trial exhibits, would we fill out one document separator sheet per set of subpoenaed records or one per individual document?
A: Designated documents from each set of subpoenaed records would be considered one document. They would not require individual separator sheets. One separator sheet would be required for each set of subpoenaed records.
Q: When submitting a request for a DEU rating, is a separator sheet needed for each individual document in the package?
A: A document cover sheet should be placed on top identifying the DEU as the product delivery unit. This should be followed by a separator sheet and the DEU request form, then a separator sheet and the medical report to be rated. If more than one medical report is to be rated, a separator sheet should precede each report. DEU forms contain their own proof of service so you don’t need to add a separator sheet for that. You can find a sample of how to set up a DEU submission on the “Working in EAMS” page under “for OCR form filers.”
Q: A DEU rating is sometimes included in a settlement package. The settlement package is filed on the ADJ product delivery unit, but the rating is a DEU document and is not included in the ADJ drop down menus on the document separator sheet. Would the rating be considered a part of the settlement and not require its own document separator sheet?
A: Yes. The settlement package is filed on the ADJ unit under one coversheet. The DEU rating you want to be appended to the settlement document goes at the end of the settlement document itself, with no separator sheet. There is an example of how to set up a C&R on the “Working in EAMS” page under “for OCR form filers.” In that example, the rating would be placed just behind the settlement document, and before the separator sheet for the DWC-1.
Remember, separator sheets would still be needed for the other individual documents submitted as part of the settlement package, such as the medical reports.
When submitting multiple documents under one cover sheet, all the product delivery units must match the unit designated on the cover sheet. In other words, if you indicate on your cover sheet that you are filing into ADJ, the product delivery unit for all the separator sheets in that file must be ADJ. If you try to use a different product delivery unit on one of the separator sheets your submission will error out of EAMS.
Q: If the verification of signature and Proof of Service are on separate pages, should we include a document separator sheet for each?
A: No. Both documents would go under a single separator sheet, with “Legal Documents” as the document type and “Proof of Service” as the document title.
Q: On the document separator sheet drop down menus, there is no option listed for proof of service under the document title for DEU product delivery unit. Where can it be found?
A: For the DEU product delivery unit, the proof of service is included in the actual form itself, so you don’t need a separate proof of service, and therefore, no separator sheet is needed.
Q: Does EAMS identify duplicate documents?
A: No. The system will not identify duplicate documents within a file. Therefore, it will be important for those preparing files for scanning and indexing to look for and eliminate duplicates.
Q: Will hard copies of case files or documents be destroyed after being scanned?
A: Yes, but DWC will not destroy documents immediately. Legacy files, or those that currently exist, will be scanned into EAMS when the case comes up for trial. After scanning, the paper version of the legacy file will be kept for 30 days. Newly submitted paper documents will be kept for 14 days after being scanned into the system. Remember, EAMS is fundamentally the DWC's case management system so case participants will still need to keep their own files, which will contain documents beyond what the DWC needs to resolve a dispute.
Q: Can forms that are scanned through optical character recognition (OCR) software be printed?
A: Yes. Once OCR'd forms enter the system they are printable. But remember, OCR forms are paper, so they are printed prior to being scanned into EAMS.
Q: How will illegible documents be handled?
A: EAMS will attempt to gather all the available information from the form. However, sometimes human intervention will be needed to determine the contents of documents that are submitted in an illegible format.
Q: Does EAMS automatically redact sensitive information?
A: No. However, under EAMS there will be no change in the current process for handling documents filed along with a petition to seal: The petition will be routed to a judge who will make a decision and issue an order on the petition. The documents that are the subject of the petition will remain in the file unsealed until the judge has the opportunity to make a decision on the petition.
Q: Are old cases being scanned in EAMS?
A: Cases that are active (that is, where a hearing is scheduled or where other significant action is being taken) may be scanned into EAMS prior to the hearing. Inactive cases with no expectation of future action will not be scanned unless the case becomes active. All information currently in a legacy system (a current system of record, like DEU's system or the WCAB online system) will be converted and accessible through EAMS, but no documents associated with inactive cases will be scanned immediately after EAMS becomes active.
The division will decide what to do with very old inactive cases now at the State Resource Center (SRC) or in storage at local offices at some point in the future.
Q: What will happen if only part of the old legacy file (WCAB paper file) is scanned into EAMS and part is not scanned?
A: The old documents will remain as paper, unless or until the case goes to trial. In that case the new documents will be scanned into EAMS and only the paper documents from the legacy file that are offered as evidence will be scanned into EAMS.
Q: What if the district office scans my documents into the wrong case?
A: In the event of a district office error, proposed regulation 10223 allows the district office to move the document to the correct case.
Q: If I am filing e-forms, will I need to fill out a separate cover sheet to go on the top of each e-form and document?
A: Not a "separate" cover sheet. E-forms are structured so that the first five tabs/pages of every form are the cover sheet. You only need to fill out the first tab/page of the e-form cover sheet unless you have companion cases. If you have companion cases, you will fill in only the number of cover sheet tabs/pages relevant to the number of companion cases you are filing.
Q: When a case has multiple employers and insurers but the e-form only has space for one of each, how would the others be added?
A: An attachment (such as a Word document) would be created listing the additional parties, and would be added to the e-form as an attachment by clicking on the “add attachments” button. DWC staff will then enter the additional case participants manually in EAMS, just as they currently do with paper forms that do not have enough fields.
Q: The unstructured e-form has a field for the master case number as well as a field for the case reference. Which field does the ADJ number go in?
A: The ADJ number goes in the master case number field. The case reference field is used to list any companion cases in which you would like to file the same document.
Q: Can you estimate how long it will take an external user to fill in an e-form and attach a file? What is your estimate of how many forms an external user can file per day with one logon and one password?
A: For an experienced user, repetitively filing the same forms, with the user's business processes arranged so the necessary information is immediately available and properly organized, the estimate is 10 minutes per form, or six forms per hour, 90 forms per day, (as EAMS is available 15 hours per day), or 23,400 forms per year.
A conservative estimate, allowing for variations, different forms, attachments and such, takes this down to 15,000 forms per office, per year. Essentially this means that if the office organizes its business properly, one logon should be enough for forms filing.
Q: Receipts: How will an external user know which case the electronic submission sheet they receive pertains to, and what documents were filed with it? Is there a link between the batch identification received on this submission receipt and the case file?
A: The submission receipt pertains to a batch of documents. In e-forms, since the cover sheet is part of the form, and the attachments are also "part of the form," (connected through the metadata captured in the attachment screen, the electronic version of the separator sheet) the submission receipt will pertain to the form, its metadata, and its attachments, which together constitute a batch. Since multiple DWC forms cannot be stacked together in e-forms, each form-metadata-attachments combination will be a separate batch and get a separate submission receipt with a batch ID.
Since e-forms are submitted one form at a time, with the form-metadata-attachments combination constituting a batch, the submission receipt received immediately after submission of a form-metadata-attachment batch will be the receipt for that batch.
For EAMS purposes, there is no link between the batch ID and the case file-there is only a link from the batch ID to the batch filing. That is, if there's a problem with the filing and the batch of documents goes into the unprocessed document queue (UDQ), you'll need the batch ID to get the problem sorted out. Once the batch is successfully filed into EAMS, EAMS has no further need of the batch ID number.
However, YOU might need that batch ID for your own file as "proof" of your submission to EAMS. Therefore, you should print the batch submission sheet and if you want, add the case name/number by hand on your copy.
Q: We recently filed several e-forms, but we do not know whether or not they went through. We tried looking them up in EAMS but could not find them. We also did not get a batch confirmation when we submitted the documents. How do we check to see if they have been filed properly?
A: It is very important that you receive batch numbers when you are filing e-forms—if you did not get a batch number, the forms did not go through. When you properly submit forms and receive a batch number, make a note of it. Then please allow one working day and you should be able to go in and view the documents if you are a party to the case. If you have any problems, you would notify the help desk with the batch number and the help desk will check on the filing for you.
Q: Once we get our batch number, where do we go to see if our document was received by the WCAB?
A: You will go the INT case home page and locate the “Case Documents” section near the bottom of the page. You will see the different product delivery units listed and you will click on the product delivery unit that you filed the document under (ADJ, DEU, etc.). This will pull up the File Net window, where you will scroll to the bottom of the page to locate the document you filed.
Q: Is there a way to look up your submitted form using the batch number?
A: Not for the external user. Batch numbers are only useful for DWC staff to track and locate documents that were not processed properly into EAMS. Once the batch is successfully submitted into EAMS, the batch number no longer has any relevance to the documents or the case.
Q: Tabs: Can I go back from tab six to tab one or is there any "back" function on the tabs to make corrections before hitting submit?
A: Yes. You can move back and forth between tabs before hitting submit on your e-form without losing any information you've keyed in. Shift + tab will take you back to the previous tab field. On e-forms, you may also click on the page/tab at the top of the form to go back to a previous page/tab.
Q: Submitting multiple attachments: Can I use control click to select and attach multiple documents to an e-form? If not, what is the purpose of the "all medical reports" designation in the drop down menu?
A: No, you can't use ctrl click to attach multiple documents. "All Medical Reports" is a category of document used for indexing in EAMS-it does not mean that multiple attachments can be attached with one attachment screen, which provides EAMS with one set of metadata. Each individual document requires its own metadata and therefore only one document at a time can be attached.
Q: We were told documents which are to be filed as attachments to e-forms, should be in a PDF format. Can we use 'TIFF' (Tagged Image File Format) instead?
A: Yes. During the e-forms trial, we will accept TIFFs, as well as JPEG, Word and other formats as attachments to e-forms. At some point in the future, when the e-forms regulations have been established, attachment formats may be limited.
Q: After I submit an e-form, can I go back into the case to look at the e-form I submitted?
A: E-forms go through an automatic batch process, which is run four times per day. If they successfully make it through that process they'll show up in EAMS following the batch process. This means that if you file something in the morning you should see it in the file that afternoon. If you file later in the day, you should see it in EAMS the next business day.
From the ADJ case homepage, click on the tab at the top left of the screen to open the INT case homepage. Scroll down to “Case Documents” and click on the ADJ link. This will open FileNet, where all of the ADJ documents are stored. Just scroll to the bottom of the page and click on the document you wish to look at.
If your submission doesn’t make it through the batch process because of some sort of defect in the form, it will go into the unprocessed document queue where a DWC employee will either correct the error or notify you to correct the error and resubmit the batch.
You can print the e-forms for service on the other parties by using the PDF print function at the top of the e-form. This is a new function that eliminates the need to print one tab at a time.
Q: Do I still need to serve the other parties with copies of the e-forms and documents I filed electronically through EAMS?
A: Yes. Parties are required by law to serve on all other parties, all documents and forms filed with the DWC district office. You can print the e-forms for service on the other parties by using the PDF print function at the top of the e-form. This is a new function that eliminates the need to print one tab at a time. It also allows you to save the e-form to your hard drive in a PDF format.
Q: Time on: Will users get timed out of the system?
A: Yes. If you are not actively working in EAMS you will be timed out after 15 idle minutes. If you are working on an e-form, the inactive time out is set to 30 minutes. This means that if you get timed out of EAMS while on an e-form, you can log back in and finish. You will receive a warning message before being timed out.
Experience is showing that the best practice is to be ready with all your documents, attachments, information, etc, at your fingertips so that when you are working on e-forms you don’t have to stop.
Remember to log out when you are finished filing in EAMS.
Q: How do we reschedule a hearing date that was made by e-filing?
A: Enter the ADJ number, then click on "External User Request for Action" and fill out the information requesting a continuance. This will take you back to the adjudication product delivery home page and create a task for the judge’s secretary to submit to the judge.
Q: We are an e-forms filer and would like to file a “Request for Qualified Medical Evaluator.” Since there is no e-form available, should we file this as an unstructured document?
A: No. Requests for panel QMEs are processed in the same way they were prior to EAMS. That is, you file them the same way you always did: Submit the paper legacy form directly to the DWC Medical Unit in Oakland.
Q: I need to get a user ID for my company in order to have access to the EAMS electronic filing system. Can you please advise how to apply for this?
A: User names and passwords are only being given to those who are participating in the EAMS e-forms trial. Organizations or entities that have volunteered and were selected to file all forms and documents electronically in the e-forms trial have received a logon and password enabling them to access EAMS. Logons and passwords will become generally available for other external users once e-form regulations have been finalized.
Q: What is the e-forms trial and who may participate?
A: E-forms are electronic Web forms submitted one at a time over the Internet to file documents in EAMS. Attachments are submitted in electronic format as attachments to the e-forms, much like attachments to e-mail. E-forms are not paper forms. The EAMS paper forms are called OCR forms. For more information regarding EAMS e-forms and OCR forms please watch the EAMS decision point and forms submission demonstration on our Web site.
The objectives of the EAMS e-forms trial are to enable trial participants to file all of their documents in EAMS using e-forms beginning as soon as possible after EAMS goes live in order to reduce the amount of paper coming into the system, and to help DWC develop regulations for e-form filing.
Since you need a logon and a password to access e-forms, and logons will be issued to a filing location (not an individual) on a limited basis, you must agree to file all documents from that location into EAMS using e-forms and you must accept the contractual conditions of the e-forms trial to participate.
Once you've reviewed the decision point and forms submission demos, along with the e-forms trial agreement posted on the “working in EAMS” Web site, and have decided you'd like to be considered for the e-forms trial, send an e-mail to eams@dir.ca.gov with "e-forms trial participation" in the subject line.
Q: We are a collection company with representatives who represent a number of different lien claimants. May our lien representatives use their lien claimant client's ID to participate in one of the e-forms trials?
A: No. In EAMS, each office of your collection company will be registered as a participant under its own name and address, without any of its clients' names being registered as part of the registration for your collection company.
Any of your company's lien claimant clients may have submitted a separate request to participate in the e-forms trial under its own name and address. If accepted in the trial, each of the offices of each of those clients that submits 250 or more liens per year would be issued its own EAMS logon. The registration information for each of those clients would include the name and address of each such office. The name of your company would not be registered in EAMS as part of the registration of any of your client's offices.
Once the client receives the logon, if it wishes, it can authorize any of its employees or independent contractors to use that login, provided it has the legal authority to do so under HIPPA and so forth. Accordingly, if the client wanted to permit an employee of your company to use its logon, then that employee could file liens on behalf of that client.
If your company is the participant in the case, as a representative of a lien claimant, use of your company's logon will provide access to EAMS on all of your company's cases.
If your client is the participant in the case, then using the lien claimant's logon will provide access to all of that lien claimant's cases in EAMS.
Q: Is it too late to get into an E forms trial? I read the requirements and think I qualify.
A: The first round already started but you can submit your request to participate in subsequent rounds now. Requests for participation in the e-forms trial must be submitted on behalf of your entire organization or entire office. All filings from your office during the e-forms trial will be by e-form. Send an e-mail request to be part of a new e-forms trial: EAMS@dir.ca.gov and put "e-forms trial request" in the subject line of your e-mail.
Q: How are mandatory settlement conference (MSC) dates selected?
A: Until e-filing becomes available, case participants may file a paper declaration of readiness to proceed (DOR). EAMS then selects the conference date and judge automatically. When e-filing becomes available, a case participant will be able to use the e-form DOR over the Internet and will have a choice of seven dates. If those are not acceptable, another three dates within pre-determined time frames will be offered. Only the party requesting a conference by e-form will have a choice of dates-not the opponent.
When setting dates, an individual participant's calendar will not be considered.
EAMS will attempt to set conferences before any previously assigned judge, unless that judge is recused, or is unavailable in the time frame designated for calendaring. If the assigned judge has taken testimony and is not available for a conference assignment within the pre-determined time frames in EAMS, the case will be set manually by the presiding judge.
Q: How will calendaring work in EAMS?
A: The process of filing a DOR for a conference is discussed under "How are MSC dates selected?" When a DOR is filed for an expedited hearing, these requests will be sent by EAMS to a presiding judge queue for the manual setting of expedited hearings. At the time of a conference, when there is a request for trial, it will be manually set by the calendar clerk.
Q: Can continuances still be requested?
A: Yes. Continuances may be requested by filing the appropriate request.
Q: How will forms that now are filled out by hand, such as the MSC statement and the C&R forms, at the district offices be handled under EAMS?
A: Parties will be provided with the new forms that they can fill out and submit, along with the requisite document cover sheets and separator sheets so they can be scanned in. Documents must be neat and legible so the data recognition feature in DWC's scanners can capture as much information as possible.
Q: Can a document be displayed for everyone to see in the hearing room?
A: Yes. The judge will have more than one monitor in the hearing room so he or she can turn one around to display information to parties in the room.
Q: How will new exhibits be brought into hearings?
A: The trial judge will identify the document on the record the same way it's done now. After the trial, the court reporter will arrange to have the document scanned into EAMS and assigned a document number. A sub-set of that document number will be used to identify that exact document in the minutes of hearing and summary of evidence and will be marked as an exhibit.
Q: What equipment will be available in the hearing rooms?
A: Judges will have computers with EAMS access and more than one monitor. The judge will use an additional monitor to display information to parties in the hearing room.
Q: How will conferences be held in EAMS?
A: Conferences will be held much the same way as before EAMS. Those who require a trial will fill out a pretrial conference statement and list their evidence, in addition to the unique identifier number for each document. A mechanism is under development to provide parties with a list of documents in the electronic file and the unique document identifier number until there is widespread electronic file access for external users. Post-conference, this document will be scanned into EAMS and reside there for use at trial. For all other dispositions, parties will complete a paper pink sheet. The conference judge will fill out the disposition and collect the pink sheets, which will be scanned into EAMS and the disposition recorded following the conference.
Q: Will the "Minutes of Hearing and Summary of Evidence" get uploaded to EAMS?
A: Yes. All minutes of hearing, produced by court reporters after trial, will be uploaded into EAMS.
Q: How will the five-pager (pretrial conference statement) be used in EAMS?
A: The pre-trial conference statement will be the same as it is today. It will be completed in paper form and scanned into EAMS following the conference. At some future time, it may be possible to create an electronic pre-trial conference statement for use at conferences.
Q: What equipment will be required?
A: EAMS was designed so that, once you have access to the full electronic environment, all you need to access EAMS is a computer with an Internet connection and Web browser.
Attorneys and claims administrators-especially those participating in the e-forms trial-will find it useful to have a scanner to facilitate the submission of documents.
Because electronic filing and EAMS access is not yet generally available, parties not participating in the e-forms trial may wish to defer purchase of equipment they intend to use for EAMS unless they presently have another need for the equipment.
Q: Will it be necessary for our legal staff to have a laptop and/or Internet wireless access when they attend hearings? We heard one company purchased laptops and Blackberries with a wireless modem feature for each of its attorneys. Do you think this is necessary?
A: No. While the court will be handling hearings and trials utilizing the electronic EAMS file, parties may continue to use their paper or computer files in whatever form they choose. There will be a printout list of the documents filed in the case, available to the parties at the time of the MSC and trial. Attorneys will not be required to interact with the DWC's EAMS file during a hearing. Therefore, it is not necessary to have specific hardware or software available during a hearing.
Q: Printers: Do you have a list of approved printers that are compatible with the new scanners?
A: No. Whether a particular printer prints out forms that will work in the district office scanners can currently be determined by testing the printed draft forms in our forms test lab, or, (after the internal users go live 8/25/08), by filing OCR forms printed from your printer at the district office.
Important printing note: The preferred method for most of the forms which will yield the best results from our testing of various printers from Adobe is: "Fit to Printable Area" with "Center and Autorotate" turned on and zoom factor at 96 percent. Other print options may not result in as good results.
Q: How will documents be served by the DWC?
A: Documents will be served by U.S. mail, fax or e-mail. Registered participants to a case will have the option to choose one of these methods of service, but no more than one. If service by U.S. mail is selected, the person assigned to this task in the various units will print the documents and send the mail in much the same way as it is done now. If one of the other methods is selected, EAMS will perform the service when requested. For companion cases, service will need to be performed in each separate case.
Q: Is it required that copies of the document cover sheet and separator sheets be included when serving filed documents on the other parties?
A: No. The cover sheet and separator sheets are for scanning purposes only.
Q: Is there an OCR proof of service form on the Web site, or do we continue to use our own proof of service form?
A. There is no proof of service OCR form. You will continue to use your own except in cases (such as DEU forms) where the proof of service is part of the form itself.
Q: Where do I put the proof of service when I file an OCR form, such as a DOR?
A: If you are filing only one form, with no supporting documents, the proof of service is placed just under the form, without a separator sheet between the form and the proof of service. If you are filing a form with one or more supporting documents, you will place the proof of service last with its own separator sheet on top.
Q: How will method of service affect timing of appeals?
A: Parties will be able to specify a preferred method of service, either by fax, email or U.S. mail. There will be a new rule governing calculation of time for filing appeals.
Q: How does EAMS handle documents requiring judges' signatures?
A: Judges will be able to sign documents using electronic signatures.
Q: Will there be standardized forms and templates in EAMS?
A: Yes. New optical character recognition (OCR) forms are now posted on the forms page of the DWC Web site. If you are an OCR form filer, you will use these forms or a form designed by your developer that works in an equivalent fashion. If you are an e-forms trial participant you will use Web-based e-forms to submit your documents.
DWC will serve parties via their preferred method of service on new standard templates.
Q: How would we file letters and petitions that are not listed on the OCR forms page of the Web site? Do they have to be double spaced? Are cover sheets and separator sheets still needed?
A: If you file letters or documents that are not EAMS OCR forms (such as certain petitions), submit the documents with the proper OCR cover sheet and separator sheets, in a condition which is compatible with the district office scanners. The documents should be double-spaced except for captions, quotes, etc. You will find additional information in sections III and VIII of the OCR handbook at http://www.dir.ca.gov/dwc/EAMS/SampleFiles/EAMS_OCR%20handbook.pdf
Q: What happens if documents are filed improperly?
A: If a case participant discovers that a document is filed improperly, there will be procedure to correct this mistake. If information about a document filed in EAMS were discovered to be incorrect, any internal user could correct this error.
Q: Does EAMS log events (proof of service)?
A: Yes, EAMS maintains a chronological log of events in a case.
Q: When a hearing date is selected while completing the e-form “Declaration of Readiness,” will the WCAB serve the notice of hearing or will the party requesting the hearing be expected to serve notice?
A: A hearing notice will be generated by EAMS that will be sent out to the case participants.Q: How do I change or add a name or address in the EAMS database?
A: Forms filed in EAMS automatically create new workers' compensation case files or open existing case files. Part of this automated process involves associating the related parties to their cases. To ensure that parties are properly associated to cases in EAMS, a uniform naming convention was created by the DWC for claims administrators (insurance carriers who self-administer claims, third party administrators, and self-insured self-administered employers) and representatives (attorneys and non-attorney representatives). Uniform names for claims administrators' offices and representatives' offices are assigned by the DWC’s Central Registration Unit (CRU). Changes or additions of name, location, mailing address, telephone, e-mail, fax, or preferred method of service must be submitted to the CRU on letterhead with an authorized signature. Requests may be submitted by e-mail to cru@dir.ca.gov or by fax to (888) 822-9309. The new assigned name or information will be posted within 10 business days of receipt of the request.
Before EAMS go-live, DWC pre-registered approximately 300 claims administrators' offices and 1,400 representatives' offices, accounting for approximately 80 percent of current case volume. Claims administrators' offices and representatives' offices that are not pre-registered must promptly register with the CRU to obtain uniform names for filing forms in EAMS. Requests for new office names or name changes must conform to the naming convention.
At this time the CRU is registering only claims administrators' offices and representatives' offices. Other types of case participants must notify the district office of changes of name, mailing address, or telephone number.
Q: When a party edits their address information in EAMS, how will other parties be notified?
A: Editing your information with the CRU only constitutes notice to the DWC/WCAB of the change. EAMS does not serve notice on other parties for you. All case participants must notify all other case participants of any change of name, mailing address, or telephone number
Q: Is there someplace in EAMS I can tell what each party's preferred method of service is?
A: EAMS only reflects a party's preferred method of service from EAMS to them. Parties can enter into agreement with each other to use a method of service other than U.S. mail (for example, if a party prefers service from EAMS via e-mail, you could enter into an agreement with that party to also serve them by e-mail). However, if no agreement exists, service between parties or entities must be made by first class mail.
Q: What changed in EDEX when EAMS went live?
A: The division worked with all the state's EDEX vendors to ensure the majority of services provided through EDEX could continue. However, because the system from which EDEX gets data changed, some of the data flowing through EDEX also changed.
EDEX is essentially a conduit through which system users, such as lien claimants, health care organizations, attorneys and others get information about cases before the DWC/Workers Compensation Appeals Board (WCAB). Before EAMS went live, EDEX provided data contained in the WCAB online system to individuals and groups who used it in their case management functions and to file liens in workers' compensation cases. When EAMS went live, the data contained in the WCAB online system was moved over to EAMS and the WCAB online system was turned off. Because the system the division uses to house and manage its data changed, and because the laws have changed since EDEX was initially implemented, the way in which data is relayed through EDEX and the data available to some EDEX users also changed.
Q: What exactly is different?
A: EDEX subscribers have been separated into two groups (governmental entities and private entities) with different levels of access to information. EDEX vendors are responsible for separating their clients into the two groups. Additionally, EDEX vendors are required to provide certification of each "governmental entity" client, otherwise the default return criteria for requested information will be at the level of "private entity."
This distinction is made because under the law governmental agencies have the right to more information than private entities.
Governmental entities-state and local agencies such as cities and counties-may search the system using Social Security numbers and will receive those numbers, along with injured worker addresses, with information received through EDEX.
Private entity subscribers may search the system using Social Security numbers, but the information returned from EDEX now contains only the last four digits of the Social Security number, along with ZIP Code and date of birth. The injured worker's residence address is no longer provided to private entity subscribers. The subscriber receives the name and address of the injured worker's attorney for service of liens and supporting documentation. If the injured worker is represented, the injured worker's law firm information will be provided. The absence of law firm information will indicate the injured worker is unrepresented.
Q: Any other changes?
A: Yes. Following the transfer to EAMS, the ability to file an electronic notice of intention to file a lien in EDEX ceased and lien claimants now need to file perfected liens at the district offices once they find the case in EDEX.
This was required by state law and regulation prior to the move to EAMS, but generally was not done correctly. For lien claimants, this means first billing the insurance company/employer, waiting the statutory period of time for the bill to be paid timely, then filing the lien with documentation of the services provided if the insurance company/employer does not pay the bill. Having the perfected lien will allow the lien claimant to access the adjudication file information, will allow the lien claimant to receive service from DWC of all hearing dates, will allow the judge in the case to decide the claim, and will move cases more expeditiously through the system with minimal required continuances or docket impact. Having the address of the injured worker's attorney will allow the lien claimant to serve the lien.
DWC is also working with the WCAB to revise regulations related to liens to clearly state that, when the case in chief has been settled, the lien claimant doesn't have to serve the injured worker. In this way, there is no need to have the injured worker's residence address.
DWC expects that most potential lien claimants will now:
1. Identify the case on which they want to file through EDEX
2. Bill the employer/insurance company for the services
3. Monitor the significant case events through EDEX, and then
4. File their lien and documentation at the district office.
Q: What about EDEX subscribers who are not lien claimants?
A: Subscribers who are not lien claimants, such as defense law firms, carriers and others, may continue to receive significant event notification through EDEX as private entity subscribers. Now that the new interface is in place, new case opening information does not contain injured worker addresses and only contains the last four digits of the Social Security number. Any subscriber, whether governmental or private, can request hearing notices on specific cases through EDEX, since only the case participants automatically receive hearing notices from DWC through EAMS.Q: Will there be regulatory changes associated with this?
A: Yes. The WCAB regulations are being amended to clarify that a lien may be filed before the parties are served. Section 10770 will be amended to state that if an applicant is represented the lien only needs to be served on the attorney of record and not additionally on the applicant.
Once the perfected lien is filed, the lien claimant is a party to the case and may obtain the injured worker's residence address (which will be needed for service on an unrepresented applicant).
In order to reduce service requirements overall, regulations will also be revised to state that if the case has been settled by C&R, or the applicant's case in chief has been completely resolved, the medical provider does not have to serve the injured worker or their representative because, by that point, they are completely out of the case. By doing this, DWC reduces the number of parties that need to be served in the lien process.
Q: How does DWC envision providing support to EDEX subscribers around these changes?
A: DWC established a working group with all the EDEX vendors to develop the new interface and to educate subscribers about the changes. DWC continues to provide updated information on this Web site. If you have questions on this process, please submit them to your EDEX vendor, who will pass them on to DWC.
Q: How do I file a lien on an existing workers' compensation case?
A: File a "Notice and Request for Allowance of Lien" through EAMS, either by using an OCR form or an e-form if you are an e-forms trial participant. If filing using OCR forms, mail your OCR forms set up properly with supporting documents and the necessary cover sheets and separator sheets to the district office. If using e-forms attach supporting documents to the e-form and submit them electronically.
Q: Does the OCR “Notice and Request for Allowance of Lien” still need to be filed on green paper, or can it be submitted on white?
A: No it does not need to be—and should not be done—on green paper. Per the regulations and the OCR forms handbook, all OCR forms are to be submitted on white paper in order to achieve the best scanning quality possible.
Q: I do not always have the date of injury (DOI) available when I file a lien, and have been unable to file a lien using the e-forms without it. Our firm uses EDEX to access the information needed for lien filings, and often the DOI is not recorded. Is there any way to file an e-form lien without a DOI?
A: At the top of the lien e-form and the e-form cover sheet, there are two radio or option buttons (the round variety that you click in) for specific injury and cumulative trauma injury. When you select one of the radio buttons, the other is automatically deselected, and you will have to enter a date in order to file the form. Once one of the radio buttons has been selected, you will not be able to deselect it and will only be able to toggle back and forth between them. If you DO NOT CLICK ON EITHER RADIO BUTTON, you will be able to file your form without entering a DOI. If you click on one of the radio buttons for specific or cumulative trauma and do not have a DOI, you will have to start over on a new e-form.
Q: How do I file a DOR as a lien claimant?
A: Follow the instructions in the OCR forms handbook if you are using OCR forms. If you are an e-form filer, follow the instructions in the computer based training (CBT). Remember that you need to file a perfected lien, which means first billing the insurance company/employer, waiting the statutory period of time for the bill to be paid timely, then filing the lien with documentation of the services provided if the insurance company/employer does not pay the bill.
Filing the perfected lien will allow you to access the adjudication file information and receive service from DWC of all hearing dates. It will also allow the judge in the case to decide the claim, and will move cases more expeditiously through the system with minimal required continuances or docket impact.
DWC expects that most potential lien claimants will:
1. Identify the case on which they want to file through EDEX
2. Bill the employer/insurance company for the services
3. Monitor the significant case events through EDEX, and then
4. File their lien and documentation at the district office.
Q: Can I save an OCR form to my computer after I have filled in all case specific information on the EAMS Web site?
A: It is possible to save filled out EAMS OCR forms with all the information you entered, but it requires that you have a full version of ADOBE Acrobat, or another software package that will allow this (not just the free ADOBE Acrobat Reader) installed on your computer. But from the DWC Web site alone, without additional software installed on your computer, you are only able to save a blank OCR form.
Q: Can I save my lien e-form as a file?
A:Yes. The form now allows you to save it on your hard drive as a PDF and also print the entire document at one time from this “PDF print” feature.
Q: Will I get notified in the future when a case is opened in EAMS for a particular SSN?
A: EAMS doesn't provide that functionality but EDEX does. You can use the services of an authorized EDEX vendor for this.
Q: Can I start a batch search in EAMS for a list of SSNs to find existing cases?
A: No. You can use EDEX for batch inquiries.
Q: How would I file an e-form lien when there are multiple carriers? The form only allows one carrier to be entered.
A: You will submit an attachment to your e-form lien. Use the unit ADJ, the document type MISC and the document title “CORRESPONDENCE – OTHER."
Q: When I file a lien on multiple cases do I have to fill out an OCR form or e-form for each case?
A: Yes.
Q: How do I withdraw a lien?
A: The current practice of submitting a letter to withdraw a lien remains unchanged.
November 17, 2008