This information is provided free of charge by the Department of Industrial Relations
from its web site at www.dir.ca.gov. These regulations are for the
convenience of the user and no representation or warranty is made that the information
is current or accurate. See full disclaimer at https://www.dir.ca.gov/od_pub/disclaimer.html.
Chapter 4.5. Division of Workers' Compensation
Subchapter 2. Workers' Compensation Appeals Board--Rules and Practice Procedure
Article 18. Reconsideration, Removal and Disqualification
§ 10990. Reconsideration of Arbitration Decisions Made Pursuant to Labor Code Sections 3201.5 and 3201.7.
(a) A petition for reconsideration from an arbitration decision made pursuant to Labor Code section 3201.5(a)(1) or section 3201.7(a)(1) (known as “carve-out” cases) shall be filed directly with the office of the Appeals Board within 20 days of the service of the final order, decision or award made and filed by the arbitrator or board of arbitrators. A copy of the petition for reconsideration shall be served on the arbitrator or arbitration board.
(b) Notwithstanding any other provision of these rules, a petition for reconsideration in a carve-out case shall be filed directly with the office of the Appeals Board, and not with any district office, including the San Francisco district office. Any petition for reconsideration in a carve-out case that is received by any district office shall neither be accepted for filing nor deemed filed for any purpose. If a carve-out petition for reconsideration is submitted to a district office in violation of this rule, the petition shall be returned to the petitioner with a letter referencing this rule, noting that the petition was improperly submitted to a district office and has been rejected, and indicating that the petition should be filed directly with the Appeals Board consistent with this rule.
(c) The petition for reconsideration in a carve-out case, which shall be submitted with a document cover sheet, shall also comply with each of the following requirements:
(1) It shall be captioned so as to identify it as a “Petition for Reconsideration from Arbitrator's Decision Under Labor Code section 3201.5 or 3201.7” and it shall include:
(A) The injured employee's first and last names;
(B) The name(s) of the defendant(s);
(C) The alternative dispute resolution (ADR) case number (i.e., the carve-out arbitration case number); and
(D) The Workers' Compensation Appeals Board adjudication case number, if previously assigned;
(2) It shall set forth the date on which the arbitrator or board of arbitrators served the arbitration decision. Proof of service of the arbitration decision on the parties shall be either by a verified statement of the arbitrator or the board of arbitrators indicating the date of service and listing the names and addresses of the persons served or by written acknowledgment of receipt by the parties at the time of the arbitration proceedings;
(3) It shall append, under a document separator sheet a copy of that portion of the collective bargaining agreement relating to the workers' compensation arbitration and reconsideration processes;
(4) It shall append, under a document separator sheet, a completed Application for Adjudication of Claim (but without any venue designation), which is required solely for the purpose of obtaining the information set forth therein (e.g., the injured employee's date(s) of injury and date of birth; the names and mailing addresses of the parties); therefore, it shall not be deemed an application for purposes of Labor Code section 4064(c); and
(5) It shall contain a proof of service of the petition, including service on the arbitrator or board of arbitrators.
(d) After the filing of the carve-out petition for reconsideration, an adjudication file will be created and an adjudication case number will be assigned, if there is no existing adjudication case number. Any new adjudication case number will be served by the Appeals Board on the parties and attorneys, and on the arbitrator or board of arbitrators, at the addresses listed in the proof of service to the petition.
(e) Following the Appeals Board's service of the adjudication case number (or, if there is an existing case, following the filing of the carve-out petition for reconsideration), and until the Appeals Board issues a decision disposing of all issues raised in the petition, all further documents shall be filed directly with the office of the Appeals Board, and not with any district office.
(f) Within 15 days after receiving the petition for reconsideration, the arbitrator or board of arbitrators shall perform one of the following actions:
(1) Rescind the entire order, decision or award and initiate further proceedings within 30 days; or
(2) Rescind the order, decision or award and issue an amended order, decision or award. The time for filing a petition for reconsideration pursuant to Labor Code section 5903 will run from the filing date of the amended order, decision or award; or
(3) Submit to the Appeals Board an electronic copy of the complete record of proceedings, including:
(A) The transcript of proceedings, if any;
(B) A summary of testimony if the proceedings were not transcribed;
(C) The documentary evidence submitted by each of the parties;
(D) An opinion that sets forth the rationale for the decision; and
(E) A report on the petition for reconsideration, consistent with the provisions of rule 10962. The original arbitration record shall not be filed.
(g) Upon receipt of the electronic copy of the complete record of proceedings, the Appeals Board may enter the petition for reconsideration, any answer and the record of the arbitration proceedings into the adjudication file within EAMS.
(h) The petition for reconsideration, any answer, and the arbitration record shall be deemed part of the Workers' Compensation Appeals Board's record of proceedings under rule 10803.
(i) After an arbitration decision has been made, the arbitrator or board of arbitrators shall maintain possession of the original record of the arbitration proceedings until the time for filing a petition for reconsideration has passed. Thereafter, one of the parties may be designated custodian of the arbitration record as provided for in the collective bargaining agreement.
Note: Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 3201.5, 3201.7 and 4064, Labor Code.
1. Renumbering of former section 10865 to section 10990, including amendment of section and Note, filed 12-17-2019; operative 1-1-2020. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2019, No. 51).