Information and Assistance Officers—who, What, When, Why, Where & How

• Publication year: 2022
• Author: THE HON. ROBERT G. RASSP

Information and Assistance Officers—Who, What, When, Why, Where & How

THE HON. ROBERT G. RASSP

ROSE STEPHANIAN, I&A OFFICER, WCAB

OLIVIA INIGUEZ, I&A OFFICER, WCAB

LOS ANGELES, CALIFORNIA

Disclaimer: The opinions expressed in this article are those of the authors and not those of the California Department of Industrial Relations, the Division of Workers' Compensation or the Workers' Compensation Appeals Board.

INTRODUCTION

Do you know what "Hopper-izing" the Information and Assistance Office was? Who initiated it and why? The functions Information and Assistance (I&A) officers perform? Where they come from—how they are recruited? How they work within the Division of Workers' Compensation (DWC) and the WCAB? Why it is important for counsel to understand the I&A Officer program? What a judge does when the applicant's attorney asks to withdraw from representing the applicant in the middle of trial, during a break in the proceedings? What an alleged uninsured employer can do when served with a Notice of Special Lawsuit? What an employer can do when surcharged with a high X-mod premium? Who besides a judge reviews a proposed settlement of a case where a party is not represented by legal counsel?

This article answers all of these questions and more. Over the years, applicant's attorneys have had very few interactions with I&A officers simply because the injured workers are represented by counsel. On occasion, a frustrated applicant will contact an I&A Officer if the applicant's attorney is not communicating with the applicant and a friendly call or e-mail from the I&A Officer to the attorney's office will help set the ship back on course. That said, I&A officers are not enforcers of the law but are what their title says: they provide information and assistance to the public who request their help.

Before looking at the various roles of I&A officers, this article explores their statutory and regulatory origin.

ENABLING LEGISLATION

Information and Assistance officers have been available for the public to consult with for decades. The Information & Assistance Officer program was a creation of the Legislature. In 1993, the Legislature updated the enabling legislation that created the I&A program. Labor Code section 139.6 mandates that the Administrative Director establish the I&A Officer program. Here is a synopsis of that section:

• Labor Code section 139.6(a) mandates that the Administrative Director (AD) establish within the DWC a continuing program to provide information and assistance to the public concerning the rights, benefits and obligations of the workers' compensation law to employees and employers who are subject to California workers' compensation law. The I&A program is mandated to provide the following:

? (1) Preparation and publishing guides to the California workers' compensation system that are written in easily understandable language, updated regularly, and describe in layman's terms the rights and obligations of employees and employers, the procedures for obtaining benefits and the means of resolving disputes. Separate guides can be prepared for employees and employers, with copies sent to any and all labor and employer organizations known to the AD.
? (2) Preparation of a pamphlet, written in easily understandable language (English and Spanish), advising injured workers of their basic rights under workers' compensation law, their rights under the Americans with Disabilities Act (ADA) and the Fair Employment and Housing Act relating to disabilities. The pamphlet must contain the following information:

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¦ The circumstances under which injured employees are entitled to the various types of workers' compensation benefits
¦ The protections against discrimination because of a work injury
¦ The procedures for resolving disputes that may arise
¦ The right to seek information and advice from an Information and Assistance Office or an attorney


• Labor Code section 139.6(b) mandates that the AD appoint an I&A Officer for every DWC/WCAB district office and, depending on the operational needs of each office, any deputy I&A officers. The I&A officers are to be provided office facilities and clerical support.
• Labor Code section 139.6(c) mandates that each I&A Officer be responsible for the following duties:

? Provide continuing information concerning rights, benefits and obligations under workers' compensation law to injured workers, employers, lien claimants and other interested parties.
? On request by an injured worker, assist in prompt resolution of misunderstandings, disputes and controversies arising out of claims for compensation, without formal proceedings, in order that full and timely compensation benefits shall be furnished.
? I&A officers, in performing their duties, shall not be responsible for reviewing applications for adjudication of claims or declarations of readiness to proceed. This function shall be performed by workers' compensation judges.
? Distributing information pamphlets in English and Spanish that are approved by the AD to anyone who requests them.
? Establishing and maintaining a liaison with the persons located in the geographic area the district office serves, with other affected state agencies and with organizations representing employees, employers, insurers and the medical community.

Labor Code sections 5450 through 5455 also pertain to Information and Assistance officers:

• Labor Code section 5450: Amended in 1994, this Labor Code section mandates that: "The Division of Workers' Compensation shall make available to employees, employers and other interested parties information, assistance, and advice to assure the proper and timely furnishing of benefits and to assist in the resolution of disputes on an informal basis."
• Labor Code section 5451: Also amended in 1994, this section states: "Any party may consult with, or seek the advice of, an information and assistance officer within the Division of Workers' Compensation as designated by the administrative director. If no application is filed, if the employee is not represented, or upon agreement of the parties, the information and assistance officer shall consider the contentions of the parties and may refer the matter to the appropriate bureau or unit within the Division of Workers' Compensation for review and recommendations. The information and assistance officer shall advise the employer and the employee of their rights, benefits, and obligations under this division. Upon making a referral, the information and assistance officer shall arrange for a copy of any pertinent material submitted to be served upon the parties or their representatives, if any. The procedures to be followed by the information and assistance officer shall be governed by the rules and regulations of the administrative director adopted after public hearings."
• There is no Labor Code section 5452.
• Labor Code section 5453: This section, amended in 1994, states that "After consideration of the information submitted, including the reports of any bureau or unit within the Division of Workers' Compensation which have been received, the information and assistance officer shall make a recommendation which shall be served on the parties or their representatives, if any."
• Labor Code section 5454: Amended in 1994, this section reads: "Submission of any matter to an information and assistance officer of the Division of Workers' Compensation shall toll any applicable statute of limitations for the period that the matter is under consideration by the information and assistance officer, and for 60 days following the issuance of his or her recommendation."
• Labor Code section 5455: Under this statute, "Nothing in this chapter shall prohibit any party from filing an application for benefits under this division. In any proceeding pursuant to such application, the admissibility of written evidence or reports submitted by any party pursuant to this chapter, or Section 5502, shall be governed by Chapter 5 (commencing with Section 5700)."

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This section simply places the responsibility for the determination of admissibility of evidence in the hands of a trial judge and is not the responsibility of any other person once jurisdiction of the WCAB is invoked.

REGULATORY IMPLEMENTATION

The provisions of Labor Code sections 139.6 and 5450 through 5455 are implemented by specific regulatory mandates in 8 CCR sections 9921 through 9929 that appear in the "Blue Book" every year (Workers' Compensation Laws of California, 2022 Edition (LexisNexis)). The 2022 edition of the Blue Book, beginning on page 1050, provides the regulations. A summary of those provisions in the California Code of Regulations is provided here:

• 8 CCR section 9921: This section enables these regulations to go into effect once the Office of Administrative Law has adopted them and the Secretary of State has signed them. This language is not in the regulation itself, but in order for a regulation to be adopted, it has to be approved, after public hearings, by the agency that promulgates it; it has to implement a statutory mandate, be approved by the Office of Administrative Law, and be adopted by the Secretary of State.
• 8 CCR section 9922: This section mandates an affirmative impartial service to employees, employers, claims administrators, labor unions, medical providers and any others subject to or interested in California workers' compensation laws. Here is the implementation language of this regulation: "This service shall be provided so that all such parties are informed of the provisions of the workers' compensation laws, that benefits due are paid promptly, that disputes and misunderstandings are resolved informally insofar as possible, and that premature and unnecessary litigation be minimized."
• 8 CCR section 9923: This section, "Designation," directly implements Labor Code sections 139.6(b) and 139.6(c) by mandating the AD establish an I&A Office at each WCAB district office and appoint I&A...