McCreary County Board of Education v. Begley

89 S.W.3d 417, 2002 Ky. LEXIS 226, 2002 WL 31819665
CourtKentucky Supreme Court
DecidedNovember 21, 2002
DocketNo. 2002-SC-0264-WC
StatusPublished

This text of 89 S.W.3d 417 (McCreary County Board of Education v. Begley) is published on Counsel Stack Legal Research, covering Kentucky Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
McCreary County Board of Education v. Begley, 89 S.W.3d 417, 2002 Ky. LEXIS 226, 2002 WL 31819665 (Ky. 2002).

Opinion

OPINION OF THE COURT

Reversing decisions by an Administrative Law Judge (ALJ) and the Workers’ Compensation Board (Board), the Court of Appeals has determined that where a timely, but defective, application is received by the Department of Workers’ Claims (DWC), a policy of substantial compliance must govern enforcement of the time for resubmitting an amended claim. 803 KAR 25:010E, § 3(2). We disagree.

The claimant was injured at work on September 10, 1997. Her employer paid temporary total disability (TTD) benefits until August 11, 1998, after which she returned to work. Consistent with its obligation under KRS 342.040(1), the DWC then notified her that she had two years from the date that benefits were terminated in which to file a claim. On August 11, 2000, her Form 101 application for benefits was received at the DWC. Nonetheless, because the application was not typewritten, was incomplete in several respects, and was neither signed, witnessed, nor notarized, the DWC returned it to her on August 21, 2000, with a cover letter that Usted each of the defects and stated as foUows:

THE ORIGINAL DATE RECEIVED WILL BE SHOWN AS DATE OF FILING IF THE APPLICATION IS RESUBMITTED IN PROPER FORM WITHIN 20 DAYS FROM THE DATE OF THIS LETTER. IT IS IMPERATIVE THAT THIS LETTER BE RETURNED WITH YOUR APPLICATION TO INSURE PROPER FILING DATE.

Twenty days from August 21, 2000, was September 10, 2000, which was a Sunday. Thus, by DWC poHcy, the period for com-phance was extended to Monday, September 11, 2000, the next day that was not a Saturday, Sunday, or hohday.

The claimant’s amended Form 101 indicates that she signed it on September 8, 2000, which was a Friday. An unsworn, unnotarized document, that was styled as [419]*419an “affidavit” and attached to the claimant’s brief to the ALJ, indicates that her attorney’s secretary deposited it in regular U.S. Mail on September 11, 2000. The DWC received the corrected application on September 14, 2000, and stamped it as having been filed on that date. On October 4, 2000, the Commissioner issued the Notice of Claim, notifying the employer of the application and informing the parties that it had been assigned to an ALJ. Furthermore, the document advised the employer that a Form 111 (Notice of Claim Denial or Acceptance) must be filed -within 45 days.

Forty-five days after October 4, 2000, was November 18, 2000, which was a Saturday. On Monday, November 20, 2000, the next day that was not a Saturday, Sunday, or holiday, the employer timely filed its Form 111 and a Special Answer, wherein it asserted a limitations defense. Its argument was that a corrected Form 101 must be received by the DWC in order to be “resubmitted” and in order for its filing date to relate back to the original date received. Thus, it maintained that the claimant’s amended application was untimely because it was not received by the DWC until September 14, 2000.

The claimant pointed out that the regulation used the word “resubmitted” and failed to define it, arguing that the purpose of the regulation was not to impose a strict time requirement as with filing. Otherwise, the term “refiled” or “received” would have been used. In view of the fact that September 10, 2000, was a Sunday, she maintained that she had resubmitted the corrected application by mailing it on the 20th day, that she had complied with the regulation under the mailbox rule, that she had done so within a reasonable time, and that any delay was due to excusable neglect and the ambiguous wording of the regulation. See Cabinet for Human Resources v Riley, Ky., 921 S.W.2d 616, 617 (1996). She argued, therefore, that a policy of substantial compliance should be applied. Finally, she maintained that the employer waived its right to raise a limitations defense by failing to file its special answer until 47 days after the date of the Commissioner’s Notice of Claim.

Rejecting the claimant’s argument concerning the applicability of the mailbox rule, the ALJ determined that she had failed to comply with it. Finding no distinction between the regulation’s use of the terms “filing” and “resubmission,” the ALJ pointed out that the claimant was informed that resubmission must occur within 20 days in order for the original filing date to apply. The ALJ concluded, therefore, that the claim was not filed within the statutory period of limitations and must be dismissed.

Agreeing with the decision, the Board pointed out that the regulations have not adopted the “mailbox rule” and that even the civil rules adopt it only in instances where a document is deposited with a carrier that reflects the date upon which it receives the document, an example being registered mail. See CR 76.40(2). Yet, here, the claimant offered only a purported affidavit that was neither sworn nor notarized. Noting the need “to afford some reasonable degree of consistency in addressing filing requirements,” the Board concluded that depositing a document in a mailbox was insufficient to comply with the regulation and that the claim was properly dismissed.

Reversing and remanding, the Court of Appeals noted that the initial filing tolled the period of limitations, that compliance with the regulation was “something less than jurisdictional,” and that strict compliance was neither mandated nor justified by the holding in Riley, swpra. The Court determined, therefore, that it was an abuse [420]*420of discretion for the ALJ to fail to apply “the less draconian standard of substantial compliance, which is the correct approach according to Riley.” Concluding that a policy of substantial compliance “comports more logically and more harmoniously with the spirit of ‘beneficent purpose’ underlying and animating the ‘letter’ of the rules and regulations,” the Court remanded the matter for a decision on the merits of the claim. Thus, the employer appeals.

803 KAR 25:010E, § 3 provides, in pertinent part, as follows:

(1) An application for resolution of claim and all other pleadings shall be typewritten and submitted upon forms prescribed by the commissioner.
(2) ... Incomplete applications may be rejected and returned to the applicant. If the application is resubmitted in proper form within twenty (20) days of the date it was returned, the filing shall relate back to the date the application was first received by the commissioner. Otherwise, the date of second receipt shall be the filing date.

In Riley, supra, the worker submitted a defective Form 101 on December 15, 1987, precisely two years after the final payment of TTD. At that time, the regulation permitted a corrected Form 101 to be resubmitted within 10 days of the date that it was returned. Thus, on December 20, 1989, the DWC returned the form to counsel with a letter which indicated that if it was resubmitted within 10 days, the filing would relate back to the date on which it was originally received but that, otherwise, the date of second receipt would be the filing date. The 10-day period ended on December 30, 1989, which the 1989 calendar indicates was a Saturday. Ms. Riley’s resubmitted application was received on January 2, 1990, the next day that was not a Saturday, Sunday, or holiday. Like the initial application, the resubmitted one was deficient.

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Related

Workers' Compensation Board v. Siler
840 S.W.2d 812 (Kentucky Supreme Court, 1992)
Cornett v. Corbin Materials, Inc.
807 S.W.2d 56 (Kentucky Supreme Court, 1991)
JB Blanton Company v. Lowe
415 S.W.2d 376 (Court of Appeals of Kentucky (pre-1976), 1967)
Commonwealth, Cabinet for Human Resources v. Riley
921 S.W.2d 616 (Kentucky Supreme Court, 1996)

Cite This Page — Counsel Stack

Bluebook (online)
89 S.W.3d 417, 2002 Ky. LEXIS 226, 2002 WL 31819665, Counsel Stack Legal Research, https://law.counselstack.com/opinion/mccreary-county-board-of-education-v-begley-ky-2002.