2009 FECA Circulars which have previously been issued by the DFEC but have since been superseded by another Circular or inclusion in the FECA Procedure Manual.
|
Circular |
Subject |
|---|---|
|
Current Interest Rates for Prompt Payment Bills and Debt Collect |
|
|
Dual Benefits - FERS Cost of Living Adjustments |
|
|
Fees for Representatives' Services - Contingency Fees |
|
|
Health Benefits Insurance and Life Insurance - General Guidance |
|
|
Release of Documents from Federal Employees' Compensation (FECA) Files |
Attention: This circular has been superseded and is inactive.
|
FECA CIRCULAR NO. 09-01 |
February 15, 2009 |
SUBJECT: Current Interest Rates for Prompt Payment Bills and Debt Collection
The interest rate to be assessed for the prompt payment bills is 5.625 percent for the period of January 1, 2009 through June 30, 2009. This new rate has been updated in the Central Bill Payment system tables.
The rate for assessing interest charges on debts due the government has not changed. The interest rate for assessing interest charges on debts due the government remains at 3.0 percent for the period of January 1, 2009 through December 31, 2009.
Ordinarily, the rate of interest charged on debts due the U.S. Government is only changed in January, and is effective for the entire year. However, the rate may be changed in July if there is a difference in the Current Value of Funds (CVF) interest rate of more than two percent. The rate will be reviewed on July 1, 2009 to determine if the Treasury has changed the rate.
Attached to this Circular is an updated listing of both the Prompt Payment and Debt Management interest rates from January 1, 1985 through the current date.
DOUGLAS C. FITZGERALD
Director for
Federal Employees' Compensation
Attachments
Distribution: List No. 2--Folioviews Groups A, B, and D (Claims Examiners, All Supervisors, District Medical Advisors, Technical Assistants, Rehabilitation Specialists, Staff Nurses and Fiscal Personnel)
|
Date |
Percentage |
Date |
Percentage |
|---|---|---|---|
|
|
|
7/1/99 - 12/31/99 |
6½% |
|
1/1/09 - 12/31/09 |
5% |
1/1/99 - 6/30/99 |
5.0% |
|
7/1/08 - 12/31/08 |
5 |
7/1/98 - 12/31/98 |
6.0% |
|
1/1/08 - 6/30/08 |
4¾% |
1/1/98 - 6/30/98 |
6¼% |
|
7/1/07 - 12/31/07 |
5¾% |
7/1/97 - 12/31/97 |
6¾% |
|
1/1/07 - 6/30/07 |
5¼% |
1/1/97 - 6/30/97 |
6% |
|
7/1/06 - 12/31/06 |
5¾% |
7/1/96 - 12/31/96 |
7.0% |
|
1/1/06 - 6/30/06 |
5% |
1/1/96 - 6/30/96 |
5% |
|
7/1/05 - 12/31/05 |
4½% |
7/1/95 - 12/31/95 |
6% |
|
1/1/05 - 6/30/05 |
4¼% |
1/1/95 - 6/30/95 |
8% |
|
7/1/04 - 12/31/04 |
4½% |
7/1/94 - 12/31/94 |
7.0% |
|
1/1/04 - 6/30/04 |
4.0% |
1/1/94 - 6/30/94 |
5½% |
|
7/1/03 - 12/31/03 |
3% |
7/1/93 - 12/31/93 |
5% |
|
1/1/03 - 6/30/03 |
4¼% |
1/1/93 - 6/30/93 |
6½% |
|
7/1/02 - 12/31/02 |
5¼% |
7/1/92 - 12/31/92 |
7.0% |
|
1/1/02 - 6/30/02 |
5½% |
1/1/92 - 6/30/92 |
6% |
|
7/1/01 - 12/31/01 |
5% |
7/1/91 - 12/31/91 |
8½% |
|
1/1/01 - 6/30/01 |
6% |
1/1/91 - 6/30/91 |
8% |
|
7/1/00 - 12/31/00 |
7¼% |
7/1/90 - 12/31/90 |
9.0% |
|
1/1/00 - 6/30/00 |
6¾% |
1/1/90 - 6/30/90 |
8½% |
|
|
|
|
|
|
7/1/89 - 12/31/89 |
9% |
|
|
|
1/1/89 - 6/30/89 |
9¾% |
|
|
|
7/1/88 - 12/31/88 |
9¼% |
|
|
|
1/1/88 - 6/30/88 |
9% |
|
|
|
7/1/87 - 12/31/87 |
8% |
|
|
|
1/1/87 - 6/30/87 |
7% |
|
|
|
7/1/86 - 12/31/86 |
8½% |
|
|
|
1/1/86 - 6/30/86 |
9¾% |
|
|
|
7/1/85 - 12/31/85 |
10% |
|
|
|
1/1/85 - 6/30/85 |
12% |
|
|
ATTACHMENT TO FECA CIRCULAR NO. 09 – 01
Back to Top of FECA Circular No. 09-01
|
Dates |
Percentage |
|---|---|
|
1/1/09 - 12/31/09 |
3% |
|
7/1/08 - 12/31/08 |
3% |
|
1/1/08 - 6/30/08 |
5% |
|
1/1/07 - 12/31/07 |
4% |
|
7/1/06 - 12/31/06 |
4% |
|
1/1/06 - 12/31/06 |
2% |
|
1/1/05 - 12/31/05 |
1% |
|
1/1/04 - 12/31/04 |
1% |
|
1/1/03 - 12/31/03 |
2% |
|
7/1/02 - 12/31/02 |
3% |
|
1/1/02 - 06/30/02 |
5% |
|
1/1/01 - 12/31/01 |
6% |
|
1/1/00 - 12/31/00 |
5% |
|
|
|
|
1/1/99 - 12/31/99 |
5% |
|
1/1/98 - 12/31/98 |
5% |
|
1/1/97 - 12/31/97 |
5% |
|
1/1/96 - 12/31/96 |
5% |
|
7/1/95 - 12/31/95 |
5% |
|
1/1/95 - 06/30/95 |
3% |
|
|
|
|
1/1/94 - 12/31/94 |
3% |
|
1/1/93 - 12/31/93 |
4% |
|
1/1/92 - 12/31/92 |
6% |
|
1/1/91 - 12/31/91 |
8% |
|
1/1/90 - 12/31/90 |
9% |
|
1/1/89 - 12/31/89 |
7% |
|
1/1/88 - 12/31/88 |
6% |
|
1/1/87 - 12/31/87 |
7% |
|
1/1/86 - 12/31/86 |
8% |
|
1/1/85 - 12/31/85 |
9% |
|
|
|
|
Prior to 01/01/84 |
Not applicable |
Back to Top of FECA Circular No. 09-01
Attention: This circular has been superseded and is inactive.
|
FECA CIRCULAR NO. 09-02 |
February 15, 2009 |
Subject: Dual Benefits - FERS Cost of Living Adjustments
Effective December 1, 2008, benefits issued by the Social Security Administration (SSA) will be increased by 5.8%. This requires the amount of the Federal Employees' Retirement System (FERS) Dual Benefits deduction to be increased by the same amount, to ensure the dollar-for-dollar offset remains current.
This adjustment will be made from the National Office for all cases that were correctly entered into the iFECS Compensation program. The adjustment will be effective with the periodic roll cycle beginning December 21, 2008. There will be no adjustment or overpayment declared for the period of December 1, 2008 through December 20, 2008.
The historical SSA cost of living adjustments are as follows:
|
Dates |
Percentage |
|---|---|
|
12/01/2008 - 11/30/2009 |
5.8% |
DOUGLAS C. FITZGERALD
Director for
Federal Employees' Compensation
Distribution: List No. 1 – FolioViews Groups A, B and D (Claims Examiners, All Supervisors, District Medical Advisors, Systems Managers, Technical Assistants, Rehabilitation Specialists, Staff Nurses and Fiscal Personnel)
Back to Top of FECA Circular No. 09-02
Attention: This circular has been superseded and is inactive.
|
FECA CIRCULAR NO. 09-03 |
June 1, 2009 |
Subject: Fees for Representatives' Services - Contingency Fees
Questions have continued to arise concerning the representative fee approval process under the Federal Employees' Compensation Act (FECA). Based on 5 U.S.C. § 8127 of the FECA, its implementing regulations and procedures as well as the precedent of the Employees' Compensation Appeals Board (ECAB), the fee application approval process for representatives of FECA claimants is within the discretion of the Department of Labor's Office of Workers' Compensation Programs (OWCP) which has been delegated the responsibility of administering the FECA program. The FECA regulations at 20 CFR Part 10, Subpart H describe procedures for designating a representative as well as the fee approval process before OWCP. See 20 C.F.R. §§ 10.701-703. Pursuant to 20 C.F.R. §10.703, a fee application must be in the form of an itemized statement showing the representative's hourly rate, the number of hours worked, and specifically identifying the work performed and a total amount charged for the representation (excluding administrative costs).
Contingency fee arrangements are not permitted. OWCP considers it unacceptable for a representative to create what amounts to a contingency fee in regard to any FECA matter including schedule awards or to manipulate extremely high hourly rates after the fact in a manner that guarantees a certain percentage fee. As such arrangements essentially amount to contingency fee agreements, they do not comport with OWCP's requirements and thus are not subject to the deemed approved process. While OWCP's current FECA regulations set forth a "deemed approved" method for streamlining the fee approval process and do not specifically prohibit contingency fees, the FECA regulations clearly anticipate use of an hourly rate. In order for the deemed approved process to apply, the claimant must specifically concur with a fee request that comports with the FECA regulatory requirement of an itemized statement and a specified hourly rate.
OWCP's requirement of an itemized statement and an hourly rate in its published regulations at 20 C.F.R. 10.703 makes it apparent that OWCP does not recognize any contract or agreement between representatives and clients for payment of a fee on a contingency basis (any agreement where a client agrees to pay a representative a percentage of any monies paid or recovered as part of an OWCP claim). As noted, OWCP's current regulations anticipate use of an hourly rate. Any question of whether contingency fees were allowable was resolved when ECAB held in Angela M. Sanden, Docket No. 04-1632 (issued September 4, 2004), in a case involving fees for services before OWCP, that contingency fee arrangements are not recognized under FECA, further noting that "the attorney's contingency fee arrangement is illegal under the laws applicable to this case." Section 2-1200-5(b) of the Federal (FECA) Procedure Manual reflects ECAB's holding against the use of contingency fees in the FECA process and describes how a fee may be approved.
ECAB more recently stated in its final rule on changes in the ECAB Rules of Procedure (in rejecting a commenter's urging contingency fees be allowed in fee applications on ECAB appeals in response to ECAB's Notice of Proposed Rulemaking in the Federal Register) that "The Board has found that the use of contingency fees by attorneys handling FECA claims before OWCP is not in keeping with section 8127." ECAB cited Sanden in support of that proposition in their final rule which appears at: http://www.dol.gov/agencies/ecab. See F.R. Vol. 73 at 62192 (October 20, 2008). ECAB further noted in its final rule that a representative's failure to follow the statutory approval process may subject that individual to criminal sanctions. See 18 U.S.C. § 292. As ECAB's fee approval process is also based on section 8127 of FECA and the representative fee approvals for work before OWCP may be appealed to ECAB, OWCP follows ECAB's clear guidance in this matter.
Representatives utilizing retainer agreements that amount to contingency fee agreements should be advised to revise their fee agreement in accordance with these instructions. Such cases should be handled as follows:
1. Any fee application submitted by a representative in the form of a contingency fee must be returned to the representative with instructions to calculate the money owed for services rendered on an hourly basis and resubmit the fee application in the proper format as described in 20 C.F.R. §10.703.
2. When the representative resubmits the fee request, the attorney must submit a contemporaneously dated statement from the claimant that acknowledges concurrence with the fee and lists the hourly rate being charged in order for the deemed approved process to apply.
3. Any request by a claimant or representative for OWCP to issue a formal decision in order to allow an appeal should be promptly granted.
If a claims examiner receives an inquiry from a state bar association concerning OWCP's procedures on representative fee approvals (this occurs with increasing frequency), the claims examiner may provide links to the applicable statutory language, regulations and procedures but should refer further questions to the District Director who may consult with OWCP's Division of Federal Employees' Compensation (DFEC) National Office as needed in responding to such requests.
DOUGLAS C. FITZGERALD
Director for
Federal Employees' Compensation
Distribution: List No. 2-Folioviews Groups A, B, and D (Claims Examiners, All Supervisors, District Medical Advisors, Technical Assistants, Rehabilitation Specialists, Staff Nurses and Fiscal Personnel)
Back to Top of FECA Circular No. 09-03
Attention: This circular has been superseded and is inactive.
|
FECA CIRCULAR NO. 09-04 |
June 1, 2009 |
SUBJECT: Health Benefits Insurance and Life Insurance - General Guidance
Health Benefits
When a Federal employee enters a leave without pay (LWOP) status, the employing agency is no longer able to deduct for health and life insurance premiums. If compensation for wage loss benefits is payable under the Federal Employees' Compensation Act (FECA), the responsibility for making those deductions transfers to the Office of Workers' Compensation Programs (OWCP).
Health Benefit Insurance (HBI) Enrollment Requirements
Claims with health benefit deductions should not be on the daily roll for more than 90 consecutive days. Generally, claimants who are disabled for more than 90 days should be placed on the Periodic Roll and their health benefits enrollment should be transferred-in to the servicing district office in a timely manner. The sole exception would be when the evidence in the case record clearly indicates a return to work (RTW) in the near future. Please note that timely transfer-in of health benefits (HBs) is critical, as the information entered in the Integrated Federal Employees' Compensation System (iFECS) is used to report to the Office of Personnel Management's (OPM) Centralized Enrollment Clearinghouse (CLER) system. OPM/CLER reconciles the health benefits enrollment between iFECS and the HB carriers, matching up deductions with enrollment codes. The Division of Federal Employees' Compensation (DFEC) sends information to OPM on those periodic roll/death roll (PR/DE) cases that have been transferred-in. Cases without a transfer-in will not be reported even though DFEC is making deductions for the HB premiums.
Continued discrepancies due to the lack of a transfer-in will result in the claimant's HBI being terminated by the carrier. This problem can be compounded if/when the claimant's employment is terminated by the employing agency, as it will appear to OPM/CLER that the claimant has no entitlement to health benefits and this will be transmitted to the health benefit provider. Claimants who contact the district office with concerns that their right to health benefit coverage has been terminated must receive a prompt and substantive response given that any inability to confirm health benefit eligibility may have an adverse impact on their and/or their families' ability to receive medical services. If the district office is unable to resolve any issues of entitlement promptly, the district office Fiscal Operations Officer (FOS) should contact the Chief of the Branch of Fiscal Operations, National Office for assistance.
As soon as a claimant has been placed on the periodic roll, claims staff must notify the responsible fiscal personnel in the district office. The claims staff may use the CA-73 or the iFECS referral system to notify the appropriate fiscal personnel and advise them to initiate the transfer-in action. Once the transfer-in process is complete, the HB transfer flag in iFECS should be changed to "Y" and certified. The effective date for this action is the date that the deductions began.
Circumstances other than on-going disability may also trigger the need for a transfer-in of the HB enrollment, including the following:
- If the claimant elects OWCP benefits in lieu of OPM benefits, the servicing district office should request copies of the enrollment documents (SF-2809 forms) from OPM in order to accomplish the transfer-in.
- If FECA death benefits are approved for survivors and the enrollment has already been transferred to OPM, the district office should request copies of the enrollment documents from OPM to complete the transfer-in.
- If the claimant moves and the case record is transferred to a different district office, the new district office should complete the transfer-in process since the claimant is now the responsibility of the new "payroll" office, as that term is used by OPM.
Changes to the health benefits enrollment (the HB Plan) are only made during the annual Open Season period. The exception to this rule is generally due to a "life event" such as birth, marriage, divorce, etc. See the instructions to the SF-2809 for a full listing of all exceptions. (See PM 5-0400.8)
If the claimant is in receipt of compensation for a loss of wage-earning capacity (LWEC) and the periodic payment does not cover the amount of the HB premium, the claimant should be notified and offered a plan that will cost less. If the claimant wants to continue with his/her current plan, the claimant will be required to submit the difference between the LWEC and the HB premium on a quarterly or yearly basis to maintain coverage.
Making HBI Deductions
To authorize and set up these deductions in a compensation payment, the following steps need to be taken:
Determine the code for HBI and/or Life Insurance (LI) from Section 10 on the CA-7 claim form. If the Optional Life Insurance (OLI) code is not provided, but the agency provides information detailing the level of coverage, there is an OLI chart available to determine the correct code to enter. The chart is located on the Department of Labor's website at (http://esa/owcp/dfec/jac/oli.htm). It may also be found at the OPM website, which is http://www.opm.gov/insure/life/reference/handbook/sf50tbl.asp
Determine the date on which DFEC deductions become effective. Generally, the employing agency will make deductions through the last date for which the claimant received pay. Although OWCP deductions for HBI and LI become effective on the first day of LWOP status, DFEC does not actually begin making the HBI and LI deductions until the claimant has been in receipt of compensation for 28 days. Once the claimant has received compensation for more than 28 days, deductions should be made retroactively to the date compensation started. From that point on deductions should begin on the day immediately following the ending date of the last deduction.
The iFECS Compensation system has the ability to deduct partial premiums on a daily basis or for periods of compensation less than a full pay period, but the effective date of the deductions is dependent upon the employing agency. The deductions by the employing agency may occasionally run through the end of the pay period (rather than the first day of LWOP) in which the claimant last worked. If that is the case, DFEC deductions for HBI and LI become effective the next calendar day. If this date is not apparent from the CA-7 or from other documentation in file, the employing agency should be contacted to determine the date of last deduction. Once verified, the appropriate date should be documented in the case record.
Termination of HBI Enrollment
A claimant's health benefit enrollment can be terminated if:
- the claimant returns to work in the private sector, with no LWEC. (If there is some LWEC and OWCP is continuing to pay partial benefits, the deductions can be maintained if the claimant chooses to do so unless there is a return to work with the USPS. In those cases the USPS will always make the HBI/LI deductions.)
- the claimant is no longer eligible for compensation benefits.
- the claimant/beneficiary dies. (If the claimant dies and we are accepting the widow/er's claim for death benefits, request that the name of the enrollee be CHANGED to that of the widow/er, and ensure the coverage level is appropriate.)
If a claimant requests termination of his/her health insurance it is usually irrevocable and they may not re-enroll in the Federal Employees Health Benefits (FEHB) Program. Consult the SF-2809 instructions for all of the allowable reasons for reinstatement. Note that suspension of HBI (rather than termination) is possible if the claimant is enrolling in a Medicare/Medicaid based plan such as TRICARE or CHAMPVA. In these instances a letter is sent to the claimant advising them of the actions needed to suspend or reinstate coverage.
Life Insurance
Since DFEC does not enroll claimants in life insurance or make any changes to existing enrollments, any inquiries about enrollment should be referred to the claimant's employing agency, OPM, or the Office of Federal Employees Group Life Insurance (OFEGLI).
Basic Life Insurance (BLI)
Federal employees are automatically enrolled in BLI on the date employment begins unless they waive the coverage. However it cannot be assumed that every employee has BLI coverage. Deductions should only be made for BLI if DFEC receives verification that the claimant does in fact have the coverage. Note that premiums for BLI are free for all claimants with a date of injury prior to January 1, 1990. Deductions should be made for any claim with a date of injury after this date. Lastly, BLI premium deductions automatically stop at age 65. The BLI coverage then begins to reduce at a rate of 2% per month, until it reaches 25% of its value. Though the claimant is not paying premiums, they will always maintain that 25% coverage. Should the claimant die after the BLI coverage is reduced, the beneficiary/survivor will be entitled to whatever reduction level the BLI has reached at the time of death.
Optional Life Insurance (OLI)
In order to be eligible for OLI, the claimant must also be enrolled in BLI, unless the date of injury is prior to January 1, 1990. In that case the BLI coverage is free, so there is no need to key the deduction. The premiums for OLI are withheld until the claimant reaches age 65, and then they will automatically stop at the first full periodic roll payment after the claimant's 65th birthday. However, the claimant can elect to continue their Option B and/or Option C coverage past age 65. This is a "Post 65 Election" and it is open to all claimants who currently have Option B and/or C life insurance coverage. Note that this is not an opportunity to enroll in life insurance and elect coverage. A notice is sent to the claimant by DFEC two months prior to their 65th birthday warning them that their coverage will stop unless they contact OPM and elect to continue it. Should they elect to continue coverage past age 65, OPM will notify DFEC of the election and the level of coverage that is being maintained. Currently it is only possible to elect to continue Options B and C; Option A will always stop at age 65.
Post Retirement Basic Life Insurance (PRBLI)
At age 65, BLI coverage reduces by 75% in increments of 2% per month. Federal employees who retired or separated from Federal employment and continue to receive benefits from either DFEC or OPM on or after December 9, 1980, have the option of paying an extra premium for No Reduction or 50% Reduction in BLI, which is PRBLI. If the claimant selects a 50% reduction, coverage will reduce in 2% increments per month to the coverage option chosen. Claimants must elect this coverage when separated or retired from federal employment (usually after twelve months in LWOP status). DFEC is notified of this election via Form RI 76-13 from OPM and coverage is effective immediately. The deductions and coverage will continue until death or the claimant elects to reduce coverage. Note that prior to age 65, the claimant must pay for BOTH BLI and PRBLI if they elect it. At age 65 the BLI deduction will stop, though the PRBLI deductions will continue.
Upon notification of a PRBLI election, the claims examiner should adjust the periodic roll payment to include PRBLI and have the adjustment certified. The "75% reduction" option is free, and the "50% Reduction" and "No Reduction" options are calculated by iFECS. You must use the annual salary provided by OPM on the RI 76-13 form for PRBLI. This is considered the "final" annual salary for life insurance purposes. That figure should always be used when keying LI deductions, even if it is different from the annual salary used to calculate compensation.
Dental and Vision Insurance (FEDVIP)
Unlike health benefits and life insurance deductions, there is currently no process for Dental and Vision deductions to be added into the existing periodic roll payment by the claims examiner. This action must be taken by the National Office, and it is done when notified of coverage via a monthly update from OPM. Once notified, the National Office will add the deductions to the claimant's periodic roll payment and no action is required by the district office.
As with life insurance, DFEC does not enroll claimants in Dental/Vision benefits or make any changes to existing enrollments. Should the claims examiner receive a question from a claimant concerning this coverage, they should be advised to contact the FEDVIP program directly at (877) 888-3337. The claimant should indicate that they receive workers' compensation benefits so that their coverage can be added to the monthly update process noted above.
If the periodic roll payment is deleted and later re-entered for some reason, the Dental/Vision deduction will not be saved during the re-entry of the plate. Since it cannot be entered locally, the Chief of the Branch of Fiscal Operations, National Office must be contacted for assistance. Seek local guidance on your point of contact to initiate this communication with the National Office.
DOUGLAS C. FITZGERALD
Director for
Federal Employees' Compensation
Distribution: List No. 1 - FolioViews Groups A and D (Claims Examiners, All Supervisors, District Medical Advisors, Systems Managers, Technical Assistants, Rehabilitation Specialists and Staff Nurses)
Back to Top of FECA Circular No. 09-04
Attention: This circular has been superseded and is inactive.
|
FECA CIRCULAR NO. 09-05 |
August 26, 2009 |
SUBJECT: Release of Documents from Federal Employees' Compensation (FECA) Files
This circular is intended to provide guidance in situations where information or copies of information are requested from a claimant's FECA case file. While such requests may come from the claimant or his/her authorized representative, the Department of Labor or employing agency Office of Inspector General, claimant's former spouse or other entity, this circular focuses primarily on what information may be requested by the employing agency and when it may be provided. Because FECA case files are governed by the Privacy Act of 1974 and because FECA case file documents contain Personally Identifiable Information (PII), great care must be taken in handling requests for information. The extent to which information may be released out of a FECA case file is governed by the Privacy Act. Descriptions of the agency's role in the claims process are set forth in the FECA statute, its implementing regulations, and guidance such as the program Procedure Manuals and the Agency Handbook, CA-810. While the agency is not a party to the claim, the agency plays a critical role in the FECA process, particularly in return to work; it may request and receive documentation, including medical reports, to fulfill its role in the claims process.
Background:
All records relating to claims for FECA benefits are covered by the government-wide Privacy Act system of records entitled DOL/GOVT-1. Information from the FECA file may only be released pursuant to a need to know within DOL, a published routine use, a signed Privacy Act waiver, or a court order from a court of competent jurisdiction. Release of information in accordance with a routine use must be consistent with the purpose for which the file was created, which is the administration of the FECA case.
The FECA regulations at 20 C.F.R. § 10.11 make clear that the protection, release, inspection and copying of records covered by DOL/GOVT-1 should be carried out in accordance with the rules, guidelines and provisions of Subpart A of the FECA regulations, as well as those contained in 29 C.F.R. parts 70 and 71, which are the Department's regulations implementing the Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a) respectively, as well as with the notice of system of records and routine uses published in the Federal Register. The Office of Workers' Compensation Programs (OWCP) has determined that records covered by DOL/GOVT-1 may not be used in connection with a personnel action absent consent of the subject of the record. It is not permissible to use or release FECA documents in connection with personnel matters unless they have first obtained the claimant's written consent. Any questions an agency has concerning the disclosure of FECA-related documents or uses of such documents by the agency should be referred to the OWCP for resolution. 63 Federal Register 56752, 56753 (October 22, 1998).
A "routine use" authorizes disclosing information from the FECA claim file without first obtaining the claimant's permission—such disclosure is acceptable because the routine use is listed and published in the Privacy Act Systems Notice for DOL/GOVT-1, and because OWCP has concluded that the anticipated use of the document is consistent with the purpose for which the information was collected. These routine uses include: sending the record to medical providers asked by OWCP to examine or treat the claimant; providing relevant information about the nature and mechanism of the injury or illness to health and safety officials within the employing agency1; providing relevant documents to nurses and rehabilitation counselors assigned by OWCP to work on the case; providing documents to employing agency personnel (but only for purposes related to the claim, and not for other reasons such as personnel actions); providing documents pertaining to the factual circumstances of the case to credit bureaus; and others. A listing of the universal routine uses which apply to all Department of Labor (DOL) system of records can be found at http://www.dol.gov/sol/privacy/intro.htm. A listing of the routine uses specific to DOL/GOVT-1 can be found at http://www.dol.gov/sol/privacy/dol-govt-1.htm. [See DOL Privacy Act System of Record Notices, 67 FR 16825, at 16827-16828 (April 8, 2002).] Routine use b for DOL/GOVT-1 authorizes release of case file information "To federal agencies that employed the claimant at the time of the occurrence or recurrence of the injury or occupational illness in order to verify billing, to assist in administering the FECA, to answer questions about the status of the claim, to consider rehire, retention or other actions the agency may be required to take with regard to the claim or to permit the agency to evaluate its safety and health program."
Handling requests:
1. Regarding general requests from employing agencies, OWCP's Division of Federal Employees' Compensation (DFEC) may grant requests from agencies for records pertaining to their employees. If records are to be released, Claims Examiners (CEs) should ensure that the requestor is agency-authorized, and should require proper identification before releasing only that information directly relevant to the request. For example, if an agency needs to formulate a job offer and needs to know a claimant's medical restrictions, relevant medical reports may be released. Blanket release of the entire case record is not appropriate, except to an investigative body (DOL Office of Inspector General (OIG) or Employing Agency OIG), or to an Agency Injury Compensation Specialist who must understand that indiscriminate or widespread further release of the FECA record within the employing agency is not authorized or permitted by OWCP/DFEC.2
2. Employing agency personnel who inquire about releasing claims-related material from their files should be referred to 20 C.F.R. 10.10-10.13, as well as paragraph 9-2 of Injury Compensation for Federal Employees (Publication CA-810).
3. An agency representative may ask to inspect files at the district office. OWCP will accommodate all such requests subject to logistical and physical limitations, including reasonable advance notice of the visit and a list of cases to be reviewed. Once the agency representative has presented satisfactory identification, requested documents from the FECA claim file may be released. However, the agency representative must provide a separate statement regarding the reason for any requested documents for each FECA claim for which copies of documents are requested. Release of complete case records to employing agencies will occur very infrequently and the employing agency must establish a reasonable need for such a request.
4. Release of documents within the FECA case record to employing agencies is a permitted routine use. However, the Office may decline to release information not pertinent to the investigation or audit or may request the agency to provide additional rationale for requesting the information.
5. While documents within the FECA case record may be released to employing agencies, the use of these copies must be consistent with the reason the information was collected. In practice, this means that the use must be connected in some way with the compensation claim. Absent truly unusual circumstances (such as a FECA claimant's improper actions in the FECA claim forming the basis of a disciplinary action and with explicit DOL permission), agencies may not use copies of information from claim files in connection with EEO complaints, disciplinary actions or other administrative actions without the employee's consent.
6. A request for copies of documents contained in the FECA case record received from an employing agency must contain a reason for the request. If the reason stated is consistent with the purpose for which the information was collected, such copy requests will generally be honored. The CE is not required to determine whether the evidence of record indicates the claimant is currently capable of returning to work before providing the employing agency injury compensation specialist (or an individual performing those duties) with current medical reports for the stated purpose of attempting re-employment of the injured worker.
7. Whether in writing or in person, the agency representative may make a copy request using a standard request form attached to this Circular, or may use any signed statement which includes the required information. All such copy requests will be included in the FECA case record.
DOUGLAS C. FITZGERALD
Director for
Federal Employees' Compensation
Distribution: List No. 2—Folioviews Groups A, B, and D (Claims Examiners, All Supervisors, District Medical Advisors, Technical Assistants, Rehabilitation Specialists, Staff Nurses and Fiscal Personnel)
Attachment 09-05
EMPLOYING AGENCY REQUEST FOR COPIES OF DOCUMENTS FROM FECA CASE RECORDS (place in case file)
Claim Number: __________________________________
Claimant Name: _________________________________
As an authorized representative of ___________________ I am requesting a copy of the following documents from the above noted FECA claim record:
______________________________________________________________________________________________________
______________________________________________________________________________________________________
______________________________________________________________________________________________________
These copies are being requested for the following reason(s):
______________________________________________________________________________________________________
______________________________________________________________________________________________________
______________________________________________________________________________________________________
I understand that the use of these document copies must be consistent with the reason for which they were collected and may not be used in connection with personnel actions without the employee's consent.
Signature: ________________________________________
Date: ____________________________________________
Back to Top of FECA Circular No. 09-05