20 C.F.R. § 702.242

Information necessary for a complete settlement application

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(a) The settlement application shall be a self-sufficient document which can be evaluated without further reference to the administrative file. The application shall be in the form of a stipulation signed by all parties and shall contain a brief summary of the facts of the case to include: a description of the incident, a description of the nature of the injury to include the degree of impairment and/or disability, a description of the medical care rendered to date of settlement, and a summary of compensation paid and the compensation rate or, where benefits have not been paid, the claimant's average weekly wage.

(b) The settlement application shall contain the following:

(1) A full description of the terms of the settlement which clearly indicates, where appropriate, the amounts to be paid for compensation, medical benefits, survivor benefits and representative's fees which shall be itemized as required by § 702.132.

(2) The reason for the settlement, and the issues which are in dispute, if any.

(3) The claimant's date of birth and, in death claims, the names and birth dates of all dependents.

(4) Information on whether or not the claimant is working or is capable of working. This should include, but not be limited to, a description of the claimant's educational background and work history, as well as other factors which could impact, either favorably or unfavorably, on future employability.

(5) A current medical report which fully describes any injury related impairment as well as any unrelated conditions. This report shall indicate whether maximum medical improvement has been reached and whether further disability or medical treatment is anticipated. If the claimant has already reached maximum medical improvement, a medical report prepared at the time the employee's condition stabilized will satisfy the requirement for a current medical report. A medical report need not be submitted with agreements to settle survivor benefits unless the circumstances warrant it.

(6) A statement explaining how the settlement amount is considered adequate.

(7) If the settlement application covers medical benefits an itemization of the amount paid for medical expenses by year for the three years prior to the date of the application. An estimate of the claimant's need for future medical treatment as well as an estimate of the cost of such medical treatment shall also be submitted which indicates the inflation factor and/or the discount rate used, if any. The adjudicator may waive these requirements for good cause.

(8) Information on any collateral source available for the payment of medical expenses.

(Approved by the Office of Management and Budget under control number 1215-0160) [50 FR 399, Jan. 3, 1985, as amended at 51 FR 4284, Feb. 3, 1986]

Notes of Decisions

Cited in 7 cases, 1981–2004 · leading case: Edward O'neil, Pers. Rep. of the Est. of Raymond O'Neil v. Bunge Corp. Dir., Off. of Workers' Comp. Programs, 365 F.3d 820 (9th Cir. 2004).

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Edward O'neil, Pers. Rep. of the Est. of Raymond O'Neil v. Bunge Corp. Dir., Off. of Workers' Comp. Programs, 365 F.3d 820 (9th Cir. 2004). · cites it 6× “See 20 C.F.R. § 702.242 (b). 2 The guiding principle for these requirements is that “[t]he *824 settlement application shall be a self-sufficient document which can be evaluated without further reference to the administrative file.”

Norfolk Shipbuilding & Drydock Corp. v. Robert T. Nance, 858 F.2d 182 (4th Cir. 1989). · cites it 6× “242(a), expressly provides that the Form LS-471 must be a “self-sufficient” document, and 20 C.F.R. § 702.242 (b)(1) further provides that the settlement agreement include “[a] full description of the terms of the settlement.”

Josh Nelson v. Am. Dredging Co. & Signal Mut. Ins. Co., 143 F.3d 789 (3rd Cir. 1998). · cites it 2× “20 C.F.R. § 702.242 (a), (b)(1). No such application ever was filed with the ALJ.”

Poole v. Lowe, 615 A.2d 589 (D.C. 1992). “20 C.F.R. § 702.242 . 9 . Lowe asserted at oral argument that appellant has suffered no loss from the alleged malpractice since the amount of the settlement is what she sought and she has never claimed that she was entitled to more.”

Marine Concrete v. Dir., Off. of Workers' Comp. Programs, 645 F.2d 484 (5th Cir. 1981). · cites it 4× “Applications for approval of an agreed settlement of future medical benefits are first submitted to the deputy commissioner, 20 C.F.R. § 702.242 (b), who, after consultation with the parties, forwards the application together with his recommendations to the Director, OWCP, “for…”

Henry v. Coordinated Caribbean Transp., 204 F.3d 609 (5th Cir. 2000). · cites it 2× “” 20 C.F.R. § 702.242 (a). The contents of the settlement application are comprehensively prescribed, as emphasized by the provision’s title — “Information Necessary for a Complete Settlement Application.”

Oceanic Butler, Inc. v. Nordahl, 842 F.2d 773 (5th Cir. 1988). “18, 22 (1987); see 20 C.F.R. § 702.242 (a) and (b). Adequacy is also allegedly proven by the fact that Nordahl’s demise at so early a point makes the settlement a virtual windfall for his widow.”

— 20 C.F.R. § 702.242(a) — 1 case

Norfolk Shipbuilding & Drydock Corp. v. Robert T. Nance, 858 F.2d 182 (4th Cir. 1989). “242(a), expressly provides that the Form LS-471 must be a “self-sufficient” document, and 20 C.F.R. § 702.242 (b)(1) further provides that the settlement agreement include “[a] full description of the terms of the settlement.”

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