Chapter 4.5. Division of Workers' Compensation
Subchapter 1.8.5. Electronic Adjudication Management System Rules
Article 8. Access to Records and Retention of Records

§ 10208.7. Retention, Return and Destruction of Records and Exhibits.

(a) The Division of Workers' Compensation shall retain the following records in an adjudication file after the filing of case opening documents (i.e., the initial application for adjudication of claim or, where an application has not previously been filed, either a stipulations with request for award or a compromise and release) for the time periods set forth in subdivisions (d) and (e):

(1) the application for adjudication of claim and any amended application;

(2) all settlement documents;

(3) all orders, decisions, or awards;

(4) all minutes of hearing;

(5) all minutes of hearing and summary of evidence;

(6) all medical-legal reports;

(7) all permanent and stationary medical reports of treating physicians;

(8) all rating instructions;

(9) all formal ratings, summary rating determinations, and consultative ratings; and

(10) any other documents as determined by the appeals board or the administrative director.

(b) After five years from the date of filing of the initial application, the Division of Workers' Compensation may eliminate from the adjudication file and destroy paper or electronic correspondence and other miscellaneous material or records, including non-permanent and stationary medical reports of treating physicians, not listed in subdivision (a), above with approval of the Secretary of State.

(c) At any time, with approval of the Secretary of State, the Division of Workers' Compensation may eliminate from the adjudication file and destroy any of the following paper or electronic documents:

(1) extra copies of pleadings, notices, findings, orders, decisions, awards and other documents; and

(2) any documents filed in violation of section 10205.7, subd. (b).

(d) Following a period of fifty (50) years after the filing of the application or other case opening document, the Division of Workers' Compensation may destroy the documents enumerated in subdivision (a) maintained in electronic form with approval of the Secretary of State.

(e) Following a period of twenty (20) years after the filing of the application or other case opening document, the Division of Workers' Compensation may destroy the documents enumerated in subdivision (a) maintained in paper form with approval of the Secretary of State.

(f) Any party filing an original document or other pieces of evidence pursuant to California Code of Regulations, title 8, section 10603, subd. (a), shall, at the time of filing, either (1) arrange for the return of the document or evidence, at the filing party's sole expense, at the conclusion of all proceedings and appeals thereof; or (2) be deemed by not making such arrangements, to have consented to destruction, without notice, of the document or other evidence at the conclusion of all proceedings and appeals thereof.

(g) Stenographic reporters' notes or electronic sound recording of testimony shall be retained for a period of six (6) years after the taking of them and thereafter may be destroyed or otherwise disposed of.

Note: Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126 and 135, Labor Code.

HISTORY

1. Renumbering of former section 10273 to new section 10208.7, including amendment of subsections (a)(10) and (c)(2) and amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).

2. Amendment of subsections (a), (b), (c) and (d), new subsection (e) and subsection relettering filed 4-30-2015; operative 7-1-2015 (Register 2015, No. 18).