Chapter 4.5. Division of Workers' Compensation
Subchapter 2. Workers' Compensation Appeals Board--Rules and Practice Procedure
Article 14. Record of Proceedings

§ 10813. Sealed Documents.

(a) The presiding workers' compensation judge or the Appeals Board may order sealed medical reports, medical records or other documents filed in a case containing references to or discussions of mental or emotional health of any person, sexual habits or practice, use of or addiction to alcohol or other drugs, or other matters of similar character. Sealed documents shall not be made available for public inspection except by order of the presiding workers' compensation judge or the Appeals Board upon a showing of good cause.

(b) A party requesting that documents be sealed shall file a petition to seal documents or portions thereof with either the district office having venue or with the Appeals Board, if the matter is pending there.

(1) Any petition to seal documents shall demonstrate good cause and shall be accompanied by a declaration containing facts sufficient to justify the sealing consistent with subdivision (c) of this rule.

(2) Documents that have not been filed prior to the petition to seal may be lodged with the Workers' Compensation Appeals Board concurrently with the filing of the petition to seal. A document shall be lodged in a sealed envelope with a coversheet that includes the ADJ number, a general description of the documents and a statement that “the documents are lodged pending the outcome of a petition to seal.”

(3) If necessary to prevent disclosure, the petition, any opposition and any supporting documents must be filed in a public redacted version and lodged in a complete version conditionally under seal.

(4) If the presiding worker's compensation judge or the Appeals Board denies the petition to seal, the clerk shall return the lodged record to the submitting party and shall not place it in the adjudication file.

(5) Subsequently-filed documents shall not disclose material contained in a document previously sealed, conditionally sealed, or subject to a pending petition to seal.

(c) The presiding workers' compensation judge or the Appeals Board may order that a document be filed under seal or sealed only after expressly finding facts that establish:

(1) There exists an overriding public interest that overcomes the right of public access to the record;

(2) The overriding public interest supports sealing the record;

(3) A substantial probability exists that the overriding public interest will be prejudiced if the record is not sealed;

(4) The proposed sealing is narrowly tailored; and

(5) No less restrictive means exists to achieve the overriding public interest.

(d) Documents may be ordered sealed on the motion of the presiding workers' compensation judge or the Appeals Board if the injured employee is unrepresented or other good cause exists for sealing the documents. All parties shall be given notice and opportunity to be heard. After the issuance of a notice of intention to seal documents, the documents shall be lodged conditionally under seal pending the issuance of an order sealing the documents or an order finding no good cause to seal the documents.

(e)(1) An order sealing a document or documents shall be filed in the record of the proceedings. The order shall set forth the facts that support the findings and direct the sealing of only those documents and pages, or, if practicable, portions of those documents and pages containing the material that requires placement under seal.

(2) If the order directs that an entire document shall be sealed, and if the sealed document is contained in a paper adjudication file, the sealed document shall be placed in a sealed envelope, which shall be removed from the file before the file is made available for public inspection. If the sealed document is in an electronic adjudication file, the document shall be marked as sealed. No entirely sealed document in a paper file or an electronic file shall be available for public inspection.

(3) If the order directs that a portion or portions of a document be sealed, and if the partially sealed document is contained in a paper adjudication file, the partially sealed document shall be placed in a sealed envelope, however, a version of the document with the sealed portion redacted shall be made available for public inspection. If the sealed document is in an electronic adjudication file, a version of the document with the sealed portion redacted also shall be electronically maintained and shall be made available for public inspection.

(f) Sealed documents shall be made available for inspection by any party to the case or by their representative, subject to any reasonable conditions and limitations as the presiding workers' compensation judge or the Appeals Board may impose.

Note: Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5708, Labor Code; and Rule 2.551, California Rules of Court.

HISTORY

1. Renumbering and amendment of former section 10754 to section 10813 filed 12-17-2019; operative 1-1-2020. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2019, No. 51).