(a) In controverted claims the Workers' Compensation Law Judge shall make a reasoned decision upon the contested points. This decision, outlining the evidence supporting said determination, may be made by an oral statement which shall be entered upon the minutes of the hearings, or may be in a written and signed statement which shall be filed with the papers in the record.

(b)(1) Parties to any claim before the board may stipulate to uncontested facts or proposed findings. [Such stipulation shall be in writing and shall be signed by all parties so stipulating]A stipulation may be made either as an oral statement on the record at a hearing or, in writing outside of a hearing, when a claimant is represented. A written stipulation must be submitted using the form or format prescribed by the Chair. The stipulation must indicate that each party to the stipulation:

(i) [have] has been advised of the legal effect of stipulating to the facts or proposed findings contained in said stipulation; and

(ii) [have] has affixed their signatures to said stipulation of their own free will. If the stipulation is presented at a hearing, a [A] Workers' Compensation Law Judge shall verify the foregoing through questioning. [that all parties:]

[If the claimant is not represented, the stipulation shall be signed in the presence of a Workers' Compensation Law Judge.]

(2) A stipulation [pursuant to this section shall be subject to the approval of] made at a hearing and approved by a Workers' Compensation Law Judge [and, if approved,] shall be incorporated into the decision of the Workers' Compensation Law Judge and shall be binding upon the parties. A written stipulation entered into by a represented claimant and the employer or carrier shall be reviewed and approved by a Workers’ Compensation Law Judge or conciliator and if approved shall be incorporated into a decision of the Board. Such stipulation, as incorporated into [the] a [decision of the Workers' Compensation Law Judge], shall be subject to the provisions of section 23 of the Workers' Compensation Law and section 300.13 of this Part, and to sections 22 and 123 of the Workers' Compensation Law. The Chair may direct that stipulations properly submitted in the prescribed format and approved by a Workers’ Compensation Law Judge or conciliator constitute the decision of the Workers’ Compensation Law Judge.

(3) When a claimant is not represented, he or she shall give a sworn statement on the record at a hearing indicating an understanding of the facts agreed to and the legal effect of the stipulation.

([3]4) The provisions of this subdivision shall not be applicable to agreements settling upon and determining claims for compensation pursuant to section 32 of the Workers' Compensation Law and section 300.36 of this Part.

(c) In every claim where the disability exceeds seven days, the Workers' Compensation Law Judge shall make a finding as to whether or not an accident arising out of and in the course of employment or an occupational disease has been established [; and in every claim involving disability less than seven days, the Workers' Compensation Law Judge shall make such a finding where possible to do so on evidence before him or her. The finding of the Workers' Compensation Law Judge in such cases shall be incorporated in the notice of decision].

(d) The Workers' Compensation Law Judge may excuse the failure of a physician or other health providers to file reports in accordance with the requirements of subdivision (4) of section 13-a, subdivision (3) of section 13-k, subdivision (3) of section 13-l and subdivision (4) of section 13-m of the Workers' Compensation Law whenever after taking testimony the Workers' Compensation Law Judge finds it to be in the interest of justice to excuse such failure, and the decision of the Workers' Compensation Law Judge shall state the reasons therefor.

(e) A claim for reimbursement pursuant to section 15, subdivision 8 of the Workers' Compensation Law shall be filed on a form prescribed by the chair.

1. Statutory authority: The Workers’ Compensation Board (hereinafter referred to as Board) is authorized to amend 12 NYCRR 300.5. Workers’ Compensation Law (WCL) Sections 141 and 117(1) authorize the Chair to adopt reasonable rules consistent with and supplemental to the provisions of the WCL.

2. Legislative objectives: The proposed amendment to 12 NYCRR Section 300.5 is in accordance with the legislative purpose of ensuring prompt findings and payments to injured workers, with the Board overseeing such findings to ascertain the substantial rights of the parties.

3. Needs and benefits: The purpose of the proposed amendment is to streamline the process permitting the parties to a workers’ compensation claim to enter into stipulations in accordance with agreements reached outside of a hearing. Currently, parties that wish to stipulate to findings or facts not in dispute, must appear at a hearing, create a writing of the agreement, sign the agreement and have the agreement converted to a notice of decision. The proposed amendment permits employers, carriers and represented claimants to create a written stipulation that may be submitted to the Board for review and approval without requiring all parties to appear at a hearing. This eliminates delays and unnecessary hearings. The proposed amendment also permits all parties (including unrepresented claimants) to enter into a stipulation at a hearing on the record without requiring that such agreement be reduced to a writing, other than the resulting decision of the Workers’ Compensation Law Judge overseeing the hearing. The proposed amendment will reduce delays, eliminate unnecessary appearances at hearings and redundant paperwork.

4. Costs: The proposed amendments should reduce costs for all parties, the Board, State and local government, by avoiding unnecessary hearings and duplicate paperwork. There are no projected costs to regulated parties who may be affected by the proposed regulation. There are no projected costs to the Board, State and local governments.

5. Local government mandates: The proposed amendment does not impose any mandate, duty or responsibility upon any municipality or governmental entity.

6. Paperwork: The proposed amendment reduces duplicate paperwork, wherein a written stipulation signed by the parties is recreated in a notice of decision issued by a Workers’ Compensation Law Judge. Under the proposed amendment, instead of having both pieces of paperwork for every stipulation, the parties will have either a written Stipulation reviewed and ordered by the board or a Notice of decision issued by a Workers’ Compensation Law Judge.

7. Duplication: There is no duplication of State or federal regulations or standards.

8. Alternatives: There were no significant alternative proposals under consideration. The Board briefly considered permitting all parties to submit written stipulations to the Board for approval, but determined that the risks for unrepresented claimants was too great. Thus unrepresented claimants must present and stipulations at a hearing.

9. Federal standards: There are no applicable federal standards which address the standards contained in the proposed regulation.

10. Compliance schedule: It is believed that compliance will be easily achieved, following an update in Board processes and forms, and community outreach.

1. Effect of rule: The proposed regulation will not affect employers, as defined in WCL § 2(3), including the State, municipal corporations, fire districts, public authorities and political subdivisions, who appear before the Board on matters relating to Workers’ Compensation claims. The rule does not impact small businesses or local governments as employers, though it is intended to bring down the cost of workers’ compensation by reducing attendance at hearings and reducing duplicate paperwork.

2. Compliance requirements: The proposed regulation does not require any action by small businesses or local governments. The proposed regulation does not impose or require any reporting requirements or additional paperwork on the part of small businesses or local government.

3. Professional services: Small businesses and local governments will not have to engage any professional services as a result of the proposed regulation.

4. Compliance costs: Small businesses and local governments will not incur any compliance costs as a result of this proposed regulation. It is anticipated that small businesses and local governments will experience a decrease in their workers’ compensation costs as a result of this change.

5. Economic and technological feasibility: Small businesses and local governments will not incur any capital costs or annual operating costs or be required to purchase or update technological equipment as a result of the proposed regulation.

6. Minimizing adverse impact: The proposed regulation will have no adverse economic impact on small businesses or local governments.

7. Small business and local government participation: Although the proposed regulation does not adversely impact on public or private entities, the Board requested comment on the proposed regulation from the Business Council of New York State.

1. Types and estimated numbers of rural areas: The proposed regulation should not affect employers, as defined in WCL § 2(3), in rural areas, including municipal corporations, fire districts, public authorities and political subdivisions, who appear before the Board on matters relating to Workers’ Compensation claims.

2. Reporting, recordkeeping and other compliance requirements; and professional services: The proposed regulation does not require any action whatsoever by small businesses or local governments in rural areas. The proposed regulation does not impose or require any reporting requirements or additional paperwork on the part of small businesses or local governments in rural areas. Small businesses and local governments in rural areas will not have to engage any professional services as a result of the proposed regulation.

3. Costs: Small businesses and local governments in rural areas will not incur any capital costs, annual operating costs or any compliance costs as a result of the proposed regulation.

4. Minimizing adverse impact: The proposed regulation will have no adverse economic impact on small businesses or local governments in rural areas.

5. Rural area participation: Because the proposed amendment should have no impact on rural areas, the Board has not conducted outreach regarding the proposed amendment.

The proposed rule will not have an adverse impact on jobs. The proposed rule amends Section 300.5 of 12 NYCRR to streamline the process for entering into stipulations in a workers’ compensation proceeding. The rule does not eliminate any existing process, procedure, or program, and will not result in an adverse impact on jobs.