FEDERAL (EEOICPA) PROCEDURE MANUAL Chapter 1-0100 

Part 1 - Mail and Files Introduction 

________________________________________________________________ 

TABLE OF CONTENTS 

Paragraph and Subject Date Trans. No.

Chapter 1-0100 Introduction 

 Table of Contents . . . . . . . . 04/16 16-03

 1 Purpose and Scope . . . . . . . . 04/16 16-03

 2 Responsibilities. . . . . . . . . 04/16 16-03

 3 Energy Compensation System (ECS). 04/16 16-03

EEOICPA Tr. No. 16-03 i 

April 2016

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1. Purpose and Scope. This part of the Federal EEOICPA 

Procedure Manual (PM) addresses the processing and movement of 

mail and case files within the Division of Energy Employees 

Occupational Illness Compensation (DEEOIC) and the handling of 

documentation within the District Office (DO), the Secondary 

Claims Examiner (CE2) Unit, the Final Adjudication Branch (FAB), 

and the National Office (NO). Topics included in this part 

relate to processing mail, case creation, case maintenance, and 

transfers and loans. This involves both traditional paper case 

files, hybrid case files (part paper, part electronic), and 

fully imaged case files. It also discusses how to create case 

files, maintain case files, and assign docket numbers to case 

files referred to FAB. 

2. Responsibilities. Effective handling of mail and files is 

a responsibility for all DEEOIC staff. 

a. Central Mail Room (CMR). The CMR is a centralized mail 

processing facility operated by contractor staff who are 

responsible for scanning and creating an electronic image 

of incoming hardcopy documentation. Once the CMR staff has 

imaged a paper document, he or she classifies the document 

based on a list of pre-chosen “index” categories. The CMR 

staff person then uploads the document in to the Office of 

Workers’ Compensation Program (OWCP) Imaging System (OIS) 

and assigns it to the associated case file record. 

b. Mail and File (M&F) Staff. M&F Staff are responsible 

for maintaining paper case files located at the DO and FAB. 

They are also responsible for assisting with the physical 

movement of case files within the DO or FAB, including 

taking receipt of incoming files or transferring files to 

other district or FAB offices. 

c. Claims Examiners (CE), CE2, FAB Representatives, and NO 

Representatives. The CE, CE2, FAB Representative, and NO 

Representative are responsible for claims adjudication 

activities relevant to cases filed under the Energy 

Employees Occupational Illness Compensation Program Act 

(EEOICPA). CE, CE2, FAB, and NO staff access physical case 

file documentation, or electronic records maintained in 

OIS, to perform duties relating to claim decision-making. 

Responsibilities also include claim record keeping, such as 

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location and status change updates, in the Energy 

Compensation System (ECS). Moreover, staff assigned to case 

files are responsible for screening unreviewed mail in OIS 

and for bronzing (uploading electronic images into OIS) 

documents generated or received by DEEOIC staff during 

claims adjudication. 

3. Energy Compensation System (ECS). The work of staff 

related to mail and file is tied closely to ECS functionality in 

tracking cases, managing case status and record keeping. 

Specific instructions for using ECS are set forth in user 

guidance available to staff.

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Part 1 – Mail and Files Processing Mail 

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TABLE OF CONTENTS 

Paragraph and Subject Date Trans. No. 

Chapter 1-0200 Processing Mail 

 Table of Contents . . . . . . 04/16 16-03 

 1 Purpose and Scope . . . . . . 04/16 16-03 

 2 Types of Mail. . . . . . . . . 04/16 16-03 

 3 Electronic Recordkeeping 04/16 16-03 

 4 Unreviewed Mail Notification 04/16 16-03 

 5 Handling Mail Received 

 in DEEOIC Office. . . . . . . 04/16 16-03 

 6 Physical Evidence . . . . . . . 04/16 16-03 

 7 Personally Identifiable 

 Information (PII). . . . . . 04/16 16-03 

 8 Outgoing Mail. . . . . . . . . 04/16 16-03 

 9 Returned Mail. . . . . . . . . 04/16 16-03

Exhibits 

 1 OIS Subjects and Categories. . 04/16 16-03 

 2 FOIA Process Flow. . . . . . . 04/16 16-03 

 3 Data Release Form. . . . . . . 04/16 16-03 

 4 USPS Postmaster Address 

 Request Letter . . . . . . . 04/16 16-03 

EEOICPA Tr. No. 16-03 i 

April 2016 

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FEDERAL (EEOICPA) PROCEDURE MANUAL Chapter 1-0200 

Part 1 – Mail and Files Processing Mail 

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1. Purpose and Scope. This chapter identifies the different 

types of mail received by the Division of Energy Employees 

Occupational Illness Compensation (DEEOIC) and outlines mailprocessing procedures. In addition, the chapter contains 

procedures for case mail association, outgoing mail processing 

and handling returned mail. Also provided is information 

regarding the handling of priority correspondence, including 

Freedom of Information Act (FOIA) and Privacy Act requests, and 

the safeguarding of Personally Identifiable Information (PII) in 

the disclosure of claim records. 

2. Types of Mail. Most mail received by a DEEOIC Office is 

through the U.S. Postal Service (USPS). However, some mail is 

received by private overnight mail service, facsimile 

transmission (fax), electronic mail (e-mail), or by hand. Mail 

is grouped as follows: 

a. Priority Correspondence. The Department of Labor (DOL) 

considers mail to and from the following parties as 

priority correspondence: 

(1) The President and White House Staff; 

(2) The Vice President and members of the Vice 

President's staff; 

(3) The President Pro Tempore of the Senate; 

(4) The Speaker of the House of Representatives; 

(5) Other Members of Congress; 

(6) Members of the Cabinet; 

(7) Governors of States; 

(8) Foreign government officials (e.g., Prime 

Ministers, Cabinet-level officers, Ambassadors, etc.); 

(9) Directors/Managers of employee organizations; 

(10) Directors/Managers of national and international 

labor organizations; 

(11) Members of the press; and 

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(12) Requestors of data under the Freedom of 

Information Act (FOIA) and the Privacy Act. 

b. Primary Claim Forms. These documents, which contain 

information on new claims, include: 

(1) EE-1, Claim for Benefits under the EEOICPA; 

(2) EE-2, Claim for Survivor Benefits under the 

EEOICPA; and 

(3) Any letter or document containing “words of 

claim” under the EEOICPA. “Words of claim” simply 

means that the individual is requesting benefits under 

the EEOICPA. 

c. Bills. Form OWCP-1500 is used to bill the Office of 

Workers’ Compensation Programs (OWCP) for medical services 

and supplies. Hospital bills are submitted on the Form 

OWCP-04. Form OWCP-915 is used for employee reimbursement 

of out-of-pocket medical expenses. Form OWCP-957 is used 

for employee reimbursement of medical travel expenses. 

d. Fiscal Documents. Fiscal items may include an EN-20, 

payment transaction forms (PTF), payment cancellation 

forms, etc. 

e. Routine Mail. Other types of mail typically received 

by the DEEOIC include: 

(1) Documents from claimants and/or their authorized 

representative (AR), such as: medical records, 

employment records, exposure records, birth 

certificates, marriage certificates, death 

certificates, school records, affidavits, address 

changes, waivers, requests for an oral hearing, 

review of the written record, reconsideration, or 

reopening; 

(2) Documents from the Department of Energy (DOE), 

contractors, and/or subcontractors; 

(3) Information from other agencies, such as the 

Department of Health and Human Services (HHS), 

National Institute for Occupational Safety and Health 

(NIOSH), Social Security Administration (SSA), and the 

Department of Justice (DOJ); 

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(4) Medical reports from attending physicians; 

(5) Mail from contractual sources, including reports 

from a Contract Medical Consultant (CMC), Center for 

Construction Research and Training (CPWR), and second 

opinion and referee specialists; 

 (6) Occupational/Exposure reports from an Industrial 

Hygienist (IH) and Toxicologist (Tox); 

(7) Requests for information from other Federal, 

state, and local government agencies; and 

(8) Case-specific documents forwarded from other 

offices within DEEOIC, including a Resource Center 

(RC), for file association. 

3. Electronic Recordkeeping. The DEEOIC maintains case file 

records in both paper and electronic form. Incoming paper mail 

is processed and scanned for electronic storage by a contractor 

at the Central Mail Room (CMR), located in London, Kentucky. The 

CMR date stamps the document(s) and its corresponding envelope, 

assesses the quality of the electronic image, and associates the 

document(s) with the appropriate case record in the OWCP Imaging 

System (OIS). The electronic document(s) is then indexed 

according to predetermined subjects and categories. The subjects 

and categories into which mail is sorted and filed, and the 

types of documents included in each, can be found in Exhibit 1, 

OIS Subjects and Categories. 

4. Unreviewed Mail Notification. Once the CMR has imaged a 

document and associated it with an existing case file record, an 

electronic notification is sent through OIS to the appropriate 

Claims Examiner (CE), notifying him/her that mail has been 

received in a case for which he/she is assigned. The assigned CE 

is to verify that the unreviewed mail has been associated with 

the appropriate case file, that the document was indexed 

correctly into the appropriate subject/category, and must review 

the entirety of the document and ensure that proper action is 

taken in response to the information provided. It is important 

that the CE check OIS for new mail on a daily basis. 

5. Handling of Mail Received in a DEEOIC Office. While the 

CMR contractor handles the bulk of incoming mail for scanning 

and association with claim records, some mail and faxes will 

occasionally be received in DEEOIC offices. The Mail & File 

(M&F) Clerk(s) in each office carefully inspect the contents of 

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incoming envelopes to ensure that all contents are removed. For 

faxes, the M&F Clerk inspects the submission to make sure that 

it is complete and relates to a single claim. The envelope (or 

in case of fax, the top page of the document) must be datestamped, indicating the DEEOIC office location in which the mail 

was received and the year, month, day, and time of receipt. 

Subsequently, the M&F Clerk forwards the faxes and mail to the 

CMR for incorporation into OIS. 

The nature of some correspondence may require action at the 

DEEOIC district office level to image documents into OIS 

locally, at the office’s discretion. Such documents may include, 

but are not limited to: 

a. EE/EN-20 Acceptance of Payment Under the EEOICPA. 

At the time a payment is Authorized by the District 

Director (or an approved person with the DD role), all 

documents associated with the payment (i.e. EN-20, Payment 

Transaction Form (PTF), Payment Memo, Screen Print, etc.) 

are to be bronzed and saved as a “payment packet” in OIS. 

Once the payment packet is bronzed, the documents will be 

labeled with a unique identifier and filed under the 

Category: Forms and Claims; Subject: PTF. The payment 

packet will be described using a unique identifier 

consisting of the letters “PMT” followed by the first 4 

letters of the payee’s last name, the last 4 numbers of the 

payee SSN, and the Authorization Date as it appears on the 

PTF. For example, a payment to someone named Jones, with a 

“last 4” of 9876, and an Authorization Date of 01/01/2014 

would be stored in OIS as follows: 

Category: Forms & Claims 

Subject: PTF 

Description: PMT JONE9876, 01-01-2014 

b. SSA-581 Authorization to Obtain Earnings Data from the 

Social Security Administration (SSA). The SSA requires an 

original signed copy of the SSA-581. As such, a copy of the 

SSA-581 is to be bronzed into the appropriate case record 

in OIS, and the original is sent to SSA for processing. 

c. Documents Pertaining to a Terminal Claimant. Because 

documents in terminal cases are time-sensitive and require 

swift action, mail of this kind received at a DEEOIC office 

is directed to the assigned CE for immediate incorporation 

into OIS and appropriate handling. 

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d. Priority Correspondence. Priority correspondence 

generally pertains to the request for information and/or 

status of a claim from the claimant or an authorized third 

party. Consequently, priority correspondence is time 

sensitive and requires careful attention in its review and 

response. 

Of the priority correspondence listed in paragraph 2a 

above, the most common are FOIA requests, Privacy Act 

requests, and Congressional inquiries. In instances when a 

third party makes such a request (other than a FOIA 

request), a waiver signed by the claimant or AR must be 

included. 

(1) FOIA Requests. FOIA requests allow 

third parties to request and gain access to existing 

Federal Government information, as outlined under 5 

U.S.C. §552. FOIA requests are highly time sensitive 

and require careful attention as they involve the 

disclosure of specific documentation pertaining to the 

DEEOIC and/or its claimants. Each DEEOIC Office is to 

have a FOIA coordinator to effectively facilitate the 

identification and processing of FOIA requests. 

Exhibit 2 shows a FOIA Process Flow chart which 

identifies the steps to be taken in order to 

accurately and expeditiously process a FOIA request 

received in a DEEOIC office. 

(2) Congressional Inquiries. On behalf of their 

constituents, Congresspersons submit requests for 

information pertaining to a claimant’s EEOICPA claim. 

The responsible district office or Final Adjudication 

Branch (FAB) office is responsible for ensuring that 

these inquiries receive a comprehensive review and 

that a response is prepared in a timely manner. 

 

(3) Privacy Act. The Privacy Act of 1974, 5 U.S.C. 

§552a, applies to an individual seeking information 

about him or herself. The law provides an individual 

the right to access records maintained in federal 

systems of record (e.g., claim files)that are 

retrievable by his or her name or other personal 

identifiers. 

Examples of Privacy Act requests received by DEEOIC 

include requests for a copy of a case file or a 

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specific document from a case file (e.g., CMC report, 

SSA records). Privacy Act requests may be submitted 

by claimants, an AR or authorized third parties. 

(a) Handling document requests. In instances 

when a claimant, AR or authorized third party is 

seeking a copy of the entire case file record, or 

a specific document in a case file, the CE is to: 

(i) Access the Energy Compensation System 

(ECS) to determine if the case file has an 

imaged component. 

(ii) Copy relevant documents from the 

paper case file and/or OIS. 

(iii) Determine what information, if any, 

needs to be redacted. 

 

(iv) Before copies are sent, the CE/HR 

reviews the case file and the redacted 

copies, and completes a Data Release Form 

(Exhibit 3). The CE/HR then provides a copy 

of the redacted case file to the appropriate 

Supervisory CE, Senior CE, or HR for review 

to ensure the documents are appropriately 

redacted. A cover letter outlining the 

claimant’s appeal rights is to be included. 

The CE/HR is only permitted to release 

documents that have been reviewed, and whose 

release has been approved by the appropriate 

Disclosure Officer or his/her designee. The 

Data Release Form is to be bronzed into the 

appropriate case record in OIS. 

6. Physical Evidence. Any documents or other physical evidence 

submitted by a claimant is to be retained by the Program as part 

of the case record. Program literature and other public notices 

are to include instruction to the claimants as to the 

appropriate types of evidence to submit in support of a claim. 

Claimants should not send original documents to the CMR (e.g., 

birth certificates, death certificates, marriage certificates). 

The CMR will scan these types of records, but it may not be 

possible to return them to the submitting claimant. 

a. Portable Media. The types of documents and evidence 

received by the DEEOIC in support of EEOICPA claims is 

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varied and can occasionally consist of physical evidence 

which cannot be imaged into OIS, such as portable media, Xrays, etc. In such instances, the district office is to 

incorporate this information with the paper case file, 

making a notation in the electronic OIS record that 

physical evidence exists in the case. If no paper case file 

exists, a new file is to be created in which to store the 

physical evidence and is maintained by the district office. 

7. Personally Identifiable Information (PII). PII is defined 

as information that can be used to distinguish or trace an 

individual’s identity, such as his or her name, SSN, or 

biometric records, alone or when combined with other personal or 

identifying information that is linked or linkable to a specific 

individual, such as a date and place of birth or mother’s maiden 

name. 

During the adjudication process, the DEEOIC collects, maintains, 

and shares a large amount of data. It is of the utmost 

importance that all DEEOIC staff maintains the privacy of all 

claimants and safeguards PII contained within the case record 

from unauthorized and improper disclosure. 

a. Protected PII. Protected PII is information, which if 

disclosed, can result in harm to the individual whose name 

or identity is linked to that information. Examples of 

Protected PII include, but are not limited: SSN, credit 

card number, bank account number, biometric identifiers 

(e.g. image, fingerprint, and iris), date of birth, place 

of birth, mother’s maiden name, criminal records, medical 

records, and financial records. 

b. Non-Sensitive PII. Non-sensitive PII is information, 

which if disclosed, cannot reasonably be expected to result 

in personal harm to the individual the information is 

linked to. Examples of non-sensitive PII that can become 

Protected PII if linked with other Protected PII include, 

but are not limited to: first/last name, e-mail address, 

business address, business telephone, and general education 

credentials. 

c. Categories of PII that Indirectly Identify an 

Individual. 

(1) Any information where it is reasonably 

foreseeable that the information can be linked with 

other information to identify an individual; 

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(2) Documentation not containing a name or SSN but 

containing a place of birth and mother’s maiden name, 

which when taken together, can identify a specific 

individual; and 

(3) Documentation containing the name or names of 

other individuals (e.g., names of co-workers). 

d. Information Pertaining to Deceased Individuals. An 

individual’s right to privacy ends upon his or her death. 

Therefore, a deceased person’s name, address or SSN is not 

considered PII. However, documentation referring to a 

deceased person can contain PII regarding other living 

individuals. 

e. Information Pertaining to Living Individuals. All 

DEEOIC staff are to prevent the unauthorized release of PII 

contained in paper records, electronic records (e.g. emails), or any other material for any living individual. 

This includes materials received from NIOSH, DOE, CPWR, 

corporate verifiers, unions, or any other source. 

(1) CDs from NIOSH and DOE may contain PII on other 

individuals. DEEOIC staff must thoroughly review all 

documents on a CD before releasing the information. If 

a document contains PII on an individual other than 

the claimant, the document is printed and the 

appropriate PII is redacted. A photocopy is then made 

of the newly redacted record to ensure that the 

redacted information cannot be detected. This redacted 

document is then scanned into OIS. 

If the CD is identified as containing PII pertaining 

to individuals other than the claimant, DEEOIC staff 

will place a label on the CD that states: 

NOTICE: 

This CD and/or printed documents from the CD, includes 

confidential information on workers other than this 

employee. This information must be carefully reviewed 

and redacted before release, whether by electronic or 

printed version, pursuant to the Privacy Act. 

Monetary fines may be imposed on an individual 

government employee for release of confidential 

information or personally identifiable information. 

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f. E-Mail. All DEEOIC staff must comply with all 

prescribed OWCP directives concerning the use of e-mail 

containing PII. 

(1) E-mails sent from one DEEOIC employee to another 

through the internal OWCP wide-area network (WAN) are 

considered secure. E-mails to and from contractors 

who use the OWCP network (OWCP owned and properly 

configured equipment, including remote laptops that 

access the WAN) are also considered secure. Central 

Bill Process “threads” provided through the secure 

website of the Bill Processing Agent (BPA) conform to 

this policy, as they are also secured within an 

accredited network. 

DEEOIC staff are permitted to list the employee’s name 

and case file ID in the body of an e-mail message. 

However, the subject portion of the e-mail may not 

contain both the employee’s name, combined with any 

identifier considered Protected PII, outlined above. 

(2) E-mails between DEEOIC employees and parties 

outside of the OWCP network (e.g., Resource Centers, 

corporate verifiers, NIOSH, DOE) are not secure. As 

such, DEEOIC staff are not permitted to disclose any 

protected PII in any part of the e-mail message and 

any attachments containing protected PII must be 

password protected or encrypted. 

Therefore an e-mail message can contain the last name 

and case ID number in the text of the message, as long 

as the SSN, full name, or other PII is not listed 

anywhere in the e-mail message. Accordingly, 

development letters must be faxed or mailed to 

corporate verifiers. 

(a) SSA Exception. Communications with the SSA 

are through digital fax, and as such, do not 

subject to the above restrictions. 

(3) Case specific e-mails received from an outside 

party containing Protected PII are to be printed and 

uploaded into the OIS case file. DEEOIC staff are 

permitted to reply with an acknowledgement e-mail, 

removing any PII from the sender’s message and also 

advising the sender (e.g., claimants, physicians, 

Congressional offices) that DEEOIC does not conduct 

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claims communication via e-mail, but only by telephone 

or letter, as e-mail cannot be considered secure. 

In addition, DEEOIC staff are to remove protected PII 

in any e-mail message chain and their attachments 

prior to forwarding them outside of the OWCP network. 

However, if this is not possible, the documents should 

be faxed or sent via mail or courier. Packages 

containing extracts of multiple protected PII records 

(e.g. to CPWR, DOE, RC) sent via courier must be 

tracked (e.g., sent by Registered Mail, Return 

Receipt, Fed Ex). 

(4) E-mail messages with the BPA concerning claimants 

may only include the claimant’s Central Bill Process 

Member ID. Claimant names are not to be included in 

the e-mail, unless in an encrypted attachment. 

g. Protected PII and Portable Media. 

(1) Protected PII is only to be stored on portable 

media when absolutely necessary. Protected PII on 

portable media devices including laptops issued by DOL 

are to be protected with agency-approved encryption. 

All reasonable measures are to be taken to ensure that 

portable media containing protected PII are stored 

inside a safe or in a secured, locked cabinet, room, 

or area during periods when the media is not in 

transit or active use. 

(2) Delivery of portable media containing protected 

PII, including CDs, DVDs, or other writable media is 

done through the USPS or other DOL authorized delivery 

service with the ability to track pickup, receipt, 

transfer, and delivery. The portable media must be 

encrypted according to DOL standards and then doublewrapped in an opaque package or container that is 

sufficiently sealed to prevent inadvertent opening or 

reveal signs of tampering. The decryption key is not 

included in the same package as the portable media, 

but instead sent in a separate package. 

h. Disposal of Documents and Electronic Media Containing 

Protected PII. Hard copy documents and electronic media 

containing PII are not simply discarded in a wastebasket, 

but instead discarded in bins specifically designated for 

shredding or burning. 

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i. Improper Release of Protected PII. If protected PII 

is improperly released to an incorrect individual, or 

documentation sent to the correct individual contains 

protected PII of another individual that was not redacted, 

DEEOIC staff must: 

(1) Contact the individual via telephone and 

registered mail to request the return of the document. 

The DEEOIC staff member provides a self-addressed, 

stamped envelope for the return of the material 

directly to the DEEOIC; 

(2) Immediately notify Appropriate Management 

(District Director, Final Adjudication Branch (FAB) 

Manager or FAB Branch Chief) who in turn notifies the 

Regional Director or National Office, who complies 

with established departmental reporting requirements, 

documenting the type of PII disclosure, the 

circumstances surrounding the disclosure, how it was 

discovered, the appropriate actions taken to recover 

the document in question, and the disposition of the 

recovery effort; and 

(3) Track each PII recapture request within the 

Regional or FAB Office. 

(a) If the recapture of the PII documentation is 

successful, the incident becomes closed with the 

incident record filed and maintained in OWCP. 

(b) If the third party in possession of the 

improperly released documentation refuses to 

return it, the DEEOIC staff member reports the 

situation through appropriate management, 

through the Regional Director (except FAB), to 

the National Office, who will provide guidance.

8. Outgoing Mail. Outgoing mail is processed as follows: 

a. Envelopes. All envelopes show the addressee's full 

mailing address, including the ZIP code. If the addressee 

provides a P.O. Box and a street address, both are listed 

on the envelope. Some post offices require a further 

separation of local mail, and such requirements are 

honored. 

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b. Postage. A postage meter is used to affix postage. 

Airmail letters for overseas delivery are bundled 

separately from regular mail. 

c. Registered and Certified Mail. These types of mail 

are processed according to USPS regulations and specific 

procedures established in each DEEOIC office. 

d. Overnight Express Mail. The services of the 

designated contractor are used at the discretion of the 

DEEOIC. 

9. Returned Mail. Occasionally, mail sent out by the DEEOIC 

is returned by the USPS as undeliverable. The effective 

handling of claims depends heavily on ensuring that the claimant 

and/or AR receive the correspondence sent by a DEEOIC Office. 

Therefore, it is important that the DEEOIC maintain the current 

mailing address and phone number(s) of the claimant and/or AR. 

 a. Inaccurate or Unreadable Mailing Address. On 

occasion, printing errors occur in which the mailing 

address contains a typo, is transposed, or is incomplete, 

and is thus returned as undeliverable. In such instances, 

the mailing address on the correspondence is examined and 

compared to the mailing address on file. If it is 

determined that a mistake was made by the DEEOIC, a 

corrected correspondence, with a new effective date, is 

prepared and resent to the correct mailing address and the 

release date is updated in ECS. 

 b. Unknown Address. In such instances, sufficient 

attempts to obtain a correct address are made prior to 

administratively closing the claim. 

 (1) Check the Social Security Death Index to 

verify the recipient is alive. A print out of the 

search is to be imaged into the case record. 

(2) Call the claimant or AR and request the current 

mailing address be verified in writing. This request 

is also memorialized in writing. 

 

(3) Review the case file in its entirety to determine 

if any new/different contact information for the 

claimant or authorized representative exists in any of 

the evidence; 

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(4) Contact the RC to see if they have contact 

information on the claimant or authorized 

representative. In instances of multiple claimants, 

they may also be contacted in an attempt to obtain 

updated contact information on the claimant or AR; 

(5) Send a letter to the USPS Postmaster. Exhibit 4 

shows a sample USPS Postmaster Address Request Letter. 

Information regarding the appropriate postmaster to 

which this letter is to be sent can be obtained at 

http://www.usps.com/ under “Locate a Post Office”. 

 e. Administrative Closure of Claim. If all efforts are 

exhausted and no updated information is obtained, the claim 

is in posture for administrative closure. A memorandum is 

prepared outlining the unsuccessful efforts of obtaining a 

current address and that the claim is being 

administratively closed as a result. 

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OIS Subjects and Categories 

Page 1 of 4 Exhibit 1 

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FOIA Process Flow 

Exhibit 2 

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Data Release Form 

FOR ALL FILE COPY REQUESTS: This form must be completed and 

placed on the spindle in the claim file. 

Employee Name: __________________________________ 

File Number: __________________________________ 

Assigned Claims Examiner: __________________________________ 

Date of Request for File Copy:__________________________________ 

Name of Requestor: __________________________________ 

File Copy to be Sent to: __________________________________ 

Initial Reviewer Name: __________________________________ 

Initial Review Date: __________________________________ 

Final Reviewer Name: __________________________________ 

Final Review Date: __________________________________ 

I have carefully reviewed the documents and/or electronic media 

being sent pursuant to this claimant request for a copy of file 

documents. To the best of my knowledge these documents and/or 

electronic media do not contain Personally Identifiable 

Information (PII) of other individuals aside from the requestor 

or any PII that has been redacted. 

_________________________________________ ___________ 

(CE, CE2, FAB, or NO Representative) (Date) 

_________________________________________ ___________ 

(Final Reviewer) (Date) 

Exhibit 3 

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USPS POSTMASTER ADDRESS REQUEST LETTER 

Postmaster Date: 

City, State, Zip Code-9998 

 

 

Dear Postmaster: 

Address Information Request 

Please furnish this agency with the new address, if available, 

for the following individual or verify whether or not the 

address given below is one at which mail for this individual is 

currently being delivered. If the following address is a post 

office box, please furnish the street address as recorded on the 

box-holder’s application form. 

Full Name: Claimant/Authorized Representative

Last Known Address: Number/Street Name

 City, State, Zip Code 

 

I certify that the address information for this individual is 

required for the performance of this agency’s official duties. 

_____________________________________________________________ 

Signature of Agency Official 

____________________ 

Title 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

FOR POST OFFICE USE ONLY 

___ Mail is delivered to address given New Address: 

___ Not known at address given ________________________ 

___ Moved, left no forwarding address ________________________ 

___ No such address ________________________ 

___ Other: (Specify) ___________ 

________________________________ Box Holder’s Street Address: 

________________________________ ____________________________ 

________________________________ ____________________________ 

 ____________________________ 

USPS Return Address: Postmark/Date Stamp 

Exhibit 4 

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As per 39 USC 404...”the USPS does not disclose mailing 

information except in the following limited circumstances; 

Authorized disclosures include limited circumstances such as the 

following: (a) to other government agencies or bodies: when 

relevant to a decision concerning employment, security 

clearances, security or suitability investigations, contracts, 

licenses, grants or benefits”... 

 

The correspondence in question fits within the aforementioned 

parameters and our agency is requesting the aforementioned 

information as formatted in the USPS Administrative Support 

Manual Section 352.44. Please respond to our office via return 

mail or fax with the aforementioned postal patron’s new 

address/contact information. 

If you have any questions regarding this letter, please call me 

at XXX-XXX-XXXX 

Physical Address: US Department of Labor – DEEOIC 

P.O. Box 8306 

London, KY 40742-8306 

Sincerely, 

Name 

Title 

Exhibit 4 

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TABLE OF CONTENTS 

Paragraph and Subject Date Trans. No. 

Chapter 1-0300 Case Creation 

 

 Table of Contents. . . . . . . 04/16 16-03 

 1 Purpose and Scope. . . . . . . 04/16 16-03 

2 New Cases. . . . . . . . . . . 04/16 16-03 

3 Receipt of a New Claim . . . . 04/16 16-03 

4 Case Assignments . . . . . . . 04/16 16-03 

5 Creating Cases in Energy 

 Compensation System (ECS) . . 04/16 16-03 

6 Claims Examiner Review . . . . 04/16 16-03 

7 Creating a Claim under Part B 

 Vs. Part E, or Both . . . . 04/16 16-03 

8 New Claims in Existing Cases 04/16 16-03 

9 Withdrawal of a Claim . . . . 04/16 16-03 

 

Exhibits 

 1 Letter of Acknowledgement . . . 04/16 16-03 

EEOICPA Tr. No. 16-03 

April 2016 

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1. Purpose and Scope. This chapter describes the role of the 

Resource Center (RC), Central Mail Room (CMR), district office, 

and Final Adjudication Branch (FAB) in the case creation 

process. In addition, the chapter covers the process of 

creating an Energy Employees Occupational Illness Compensation 

Program Act (EEOICPA) case file electronically in the OWCP 

Imaging System (OIS) and Energy Compensation System (ECS). The 

chapter contains instructions for deciding whether a new claim 

is considered filed under Part B and/or Part E of the EEOICPA. 

Finally, the chapter provides guidance regarding the proper 

handling of additional claims received during claim adjudication 

and the handling of withdrawn claims. 

2. New Cases. A new case usually consists of a Claim for 

Benefits, Form EE-1 or EE-2, with the accompanying Form EE-3, 

Employment History for a Claim Under the EEOICPA. A new case is 

created based on a signed written communication from the 

claimant; a claimant’s authorized representative (AR), or a 

person acting on behalf of the claimant (e.g., a relative or 

guardian). Any one of the following documents is considered a 

request for benefits: 

a. Form EE-1, Employee’s Claim for Benefits; 

b. Form EE-2, Survivor’s Claim for Benefits; or 

c. Any letter or document containing “words of claim” 

under the EEOICPA. “Words of claim” means that the 

individual has communicated in writing his or her intent to 

seek benefits under the EEOICPA. 

3. Receipt of a New Claim. Designated staff at the Division of 

Energy Employees Occupational Illness Compensation (DEEOIC) 

district office or RC take new claim documentation, including 

the postmarked enveloped used to mail a claim form, and affix an 

inked date stamp on all documents. The date stamp is to identify 

the receiving office location and received date. Once date 

stamped, CMR contract staff then make an electronic image of the 

documents and upload them into the Energy Document Portal (EDP), 

which goes directly into the Case Create Queue in OIS. The CMR 

then send a notification to the Centralized Case Create (CCC) 

office of their action. The EDP also allows claimants, their 

attorneys, Authorized Representative, family members, etc. to 

upload claim documentation into OIS. 

Case create clerks at the CCC are responsible for checking the 

Case Create Queue daily to identify new incoming claims. The CCC 

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records the relevant demographic data relating to the claim into 

ECS, such as personal, medical, employment and other component 

data. Upon completion, a copy of the claim form is uploaded into 

OIS, which automatically generates a unique ECS Case 

Identification Number (Case ID number). 

a. Terminal Claims. In instances where a claim form is 

received by the DEEOIC office or a RC from, or on behalf 

of, a terminal claimant, the claim form and all supporting 

documentation is date-stamped, scanned, converted to a PDF 

attachment and immediately sent via e-mail to zzOWCPDEEOIC-Centralized Case Create Group. 

The subject line for any e-mail concerning a terminal claim 

should include “Terminal Case Create” followed by the name 

of the office sending the email, the claimant’s last name 

(or case number in case of an existing case). For example, 

a subject line would read: Terminal Case Create DEN Smith; 

or Terminal Case Create JAC 50100000. 

To comply with program procedure, district office staff 

prioritizes any claim with a terminal status. Should a 

District Director or FAB Manager determine that even a 

short delay in processing the forms would adversely affect 

the claimant, they are to contact the OIS Coordinator or 

Cleveland District Director by telephone. 

(1) If a terminal claim is received in the RC, the RC 

uploads all claim documentation to the EDP. 

(2) The District Director or designee reviews the 

documentation to determine whether the medical records 

necessitate the claim be expedited. If the claim is to 

be expedited, the district office follows the 

procedure described above. If the claim documentation 

does not support a designation of terminal status, the 

district office forwards the claim documents to the 

CMR for processing. 

c. Occupational History Development. For Part E 

causation claims, RC staff completes an Occupational 

History Questionnaire (OHQ) by interviewing claimants about 

their knowledge of employee exposure to toxic substances. 

The RC staff completes the OHQ interview either in-person 

or telephonically within 14 days of assignment or receipt 

of claim. If the OHQ interview cannot be completed within 

14 days, the RC staff may request an extension with the 

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jurisdictional district office. Once the OHQ interview is 

complete, the RC staff scans and uploads the completed OHQ 

interview to the case file, via the Energy Document Portal 

along with the approved DEEOIC checklist. While the RC is 

generally the recipient of new incoming claims, 

occasionally the district office will receive new claim 

documentation. In these situations, the district office 

receiving the new claim coordinates with the appropriate RC 

to have it conduct an OHQ. 

4. Assignment of Claims to a District Office. The assignment 

of a claim to a particular district office occurs based on the 

state where the employee’s most recent location of covered 

employment occurred, as listed on Form EE-3. Each district 

office is responsible for claims originating from a state for 

which it has jurisdictional responsibility. Information 

regarding district office jurisdictional boundaries is located 

on the DEEOIC main webpage. If the claimant does not submit a 

Form EE-3 with his claim, the CCC uses the claimant’s state of 

residence to make a district office assignment. Each district 

office is to provide the CCC with an up to date case create 

digit assignment list so that upon creation, the CCC directs the 

claim to appropriate CE. When CE digit assignments change, the 

District Director or a designee is to email the updated list to 

zzOWCP-DEEOIC-Centralized Case Create Group. 

5. Creating Cases in Energy Compensation System (ECS). The 

CCC enters into ECS information reported by the claimant from 

the incoming claim form, such as personal, medical, employment 

and any other relevant claim data. Important demographic 

information from the claim form necessary to create a claim 

include the employee/survivor name, Social Security Number, 

mailing address, phone number, date of birth, sex, etc. The CCC 

also enters information concerning the nature of the claim to 

include the medical conditions claimed as work-related, the 

employment history for the employee, and responses to the 

receipt of other award or other legal information. Once this 

information is entered and saved, ECS assigns a unique Case ID# 

for the entire case file. 

In addition, each person who has filed a claim within a case is 

assigned a unique claimant identification number. If the CCC is 

processing a claim based on the submission of correspondence 

that contains words of claim, he or she is to enter as much 

information as possible to permit ECS to assign a Case and 

Claimant ID#. At a minimum, ECS requires the entry of name and 

mailing address of the claimant (in the case of a survivor, it 

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is necessary to name the employee) to permit the creation of a 

case. Once the CCC creates a claim under this circumstance, the 

matter is referred to the assigned CE to notify the claimant of 

the need to complete an EE-1 or 2 to allow for claim 

adjudication. A claimant signature is not necessary on any form 

or letter with words of claim for case creation to occur; 

however, for claim adjudication a signed EE-1 or EE-2 is 

required. Without a properly completed form, the claim is 

administratively closed. 

For a systematic guide to ECS case create procedures, refer to 

the Claim Form Entry and Initial Review (Red Pane Review) 

instructions located in the ECS Procedures folder available to 

district office staff on the shared drive. 

a. Handling Alternative Filings. A non-covered spouse or 

child of a deceased DOE contractor employee or RECA 

Section 5 uranium worker may submit a written request for 

an informal evaluation of whether the employee contracted 

a covered illness as a result of employment at a covered 

facility. As no recommended or final decisions are issued 

in these instances, an EE-2 is not required. Accordingly, 

alternative filing requests are entered into ECS as “Words 

of Claim” under the form EE-2. The alternative filing 

request will be processed in ECS as a survivor claim 

according to instructions provided in Chapter 2-1200.13. 

6. Claims Examiner Review. Once a new claim is received from 

the CCC, but prior to initial development and adjudication, the 

assigned CE reviews the claim forms, any employment and/or 

medical evidence, the claimed employment and occupational 

history development conducted by the RC and ECS to ensure ECS 

contains accurate information. If the claim requires additional 

follow up action by the RC, the CE may assign additional tasks 

to the RC as necessary. 

a. Missing Information. If a claim form or document with 

“words of claim” is missing vital information (e.g., a 

diagnosed condition, employment information), the assigned 

CE requests the omitted information and/or the appropriate 

claim form from the claimant, or the designated Authorized 

Representative. 

b. Acknowledgement Letter. Upon receipt of a new claim, 

the district office is responsible for sending the claimant 

a letter acknowledging the receipt of a new claim and 

providing the claimant with a case ID number and contact 

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information should the claimant have questions regarding 

his/her claim. A sample acknowledgment letter is provided 

as Exhibit 1. 

c. Corrective Action. In some instances, a CE or FAB 

CE/Hearing Representative (HR) will identify a data entry 

error or receive information that warrants a revision to 

claimant demographic data recorded in ECS. ECS demographic 

data such as date of birth, date of death, gender, 

relationship type, phone numbers, Power of Attorney and 

Authorized Representative names are editable by the assigned 

CE or FAB CE/HR. However, in other instances, critical data 

relating to the claimant, such as address changes or 

corrections to name, SSN or other payee data, requires extra 

steps to process. For ECS data changes that the assigned CE

or FAB CE/HR cannot perform on his or her own authority, the 

DEEOIC requires two individuals to process an ECS data 

change: The person who requests an ECS change and a person 

who makes the change. This ensures information security and 

accountability for critical data changes that has the 

potential to affect payee outcomes. 

Should a CE or a FAB CE/HR identify a reason to modify ECS 

data that he or she cannot input on his or her own 

authority, they are to prepare an email with a subject line, 

“ECS Change Request – Case ID xxxx (insert Case ID#).” In 

the body of the email, the requester will describe the 

nature of needed ECS change. In addition, he or she will 

reference the Document ID in OIS or attach as reference any 

document supporting the data change request (i.e. a claimant 

submitted signed address change request). The CE or FAB/CE 

forwards the email to the Payee Change Assistant (PCA) or 

other ECS data change agent designated with that 

functionality by the District Director or FAB manager. The 

PCA or designated ECS data change agent is to process the 

ECS change request, unless there is some reason to seek 

clarification beforehand. Once completed, the PCA or 

designated ECS data change agent responds to the change 

request with an email confirming the data update. The 

receiving CE or FAB CE/HR confirms the change occurred as 

requested and then bronzes a copy of the email, along with 

any attachments, into OIS for recordkeeping. 

7. Creating a Claim Under Part B vs. Part E, or Both. 

Identifying when a claim is to be adjudicated under Part B, Part 

E, or both, it is first necessary to identify the claimed 

conditions. Conditions covered under Part B include chronic 

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beryllium disease (CBD), beryllium sensitivity, chronic 

silicosis and radiogenic cancers. Claims for any other illness 

not covered under Part B are created and adjudicated solely 

under Part E, which covers any illness found related to 

occupational toxic substance exposure. 

a. Consideration of Employment. In addition to 

considering the claimed medical condition(s), claimed 

employment is also considered. Part B of the EEOICPA covers 

employees of the Department of Energy (DOE), its 

contractors and subcontractors, beryllium vendors, atomic 

weapons employers and eligible survivors. Part E offers 

benefits to DOE contractors, subcontractors and their 

eligible survivors. 

For claims filed at the RC, the RC verifies employment 

through the Oak Ridge Institute for Science and Education 

(ORISE) and/or clarifies the nature of claimed employment. 

Example 1: If a claim identifies employment as a 

federal employee at a DOE facility and a Part B 

medical condition, the claim is adjudicated under Part 

B only, because a DOE federal employee is not a 

covered DOE contractor employee, as required under 

Part E. 

Example 2: If a claim identifies employment at an 

Atomic Weapons Employer (AWE) or a beryllium vendor 

and a Part B/E medical condition, the claim is 

adjudicated under Part B only, because working at an 

AWE or beryllium vendor is not covered employment 

under Part E. (The exception to this is if it is 

indicated that the employee worked at an AWE or 

beryllium vendor that was designated as a DOE facility 

for remediation.) 

Example 3: If only Part B medical conditions are 

checked on the claim form (e.g., CBD, beryllium 

sensitivity, chronic silicosis, or radiogenic cancer) 

and DOE contractor employment is claimed, the claim 

will be adjudicated under both Part B and Part E. 

Example 4: Some AWE and beryllium vendor facilities 

are designated as DOE facilities during periods of 

remediation. If the claimant from Example 1 instead 

claims employment with an AWE or beryllium vendor 

during a period of remediation or identifies the AWE 

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or beryllium vendor as a DOE facility on Form EE-3, 

the claim is to be adjudicated under both Part B and 

Part E. In such a case, additional development to 

establish covered Part E employment would be required. 

Example 5: To establish covered employment under Part 

E, the employee must have been a DOE contractor 

employee. If the claimant from Example 1 claims only 

employment as a DOE federal employee, the claim is 

adjudicated under only Part B. 

 

Example 6: If a non-Part B medical condition (e.g., 

asbestosis) and DOE contractor employment are claimed, 

the claim is treated as a Part E claim only. 

Example 7: If the claimant claims diabetes (a nonPart B medical condition) and employment with an AWE 

or beryllium vendor during a period in which 

remediation did not occur, or does not identify the 

AWE or beryllium vendor as a DOE facility on the Form 

EE-3, the claim is adjudicated under only Part B, as 

the employee must be a DOE contractor employee to be 

covered under Part E. 

Example 8: If an employee claims prostate cancer and 

DOE contractor employment, the claim is adjudicated 

under both Parts B and E. If the same employee claims 

both prostate cancer and asbestosis, the prostate 

cancer is treated as a Part B and Part E condition, 

while asbestosis is adjudicated under Part E only. 

Example 9: If a claimant identifies chronic silicosis 

on the Form EE-2, the claim is evaluated under both 

Parts B and E only when the claimed employment was in 

underground tunnels in Nevada or Amchitka 

Island, Alaska. If the claimant employment is outside 

of these facilities, the claim is adjudicated under 

only Part E. 

Example 10: All new Radiation Exposure Compensation 

Act (RECA) 5 claims are to be adjudicated under both 

Part B and Part E. 

8. New Claims in Existing Cases. In situations where there is 

an existing case record, if a district office or RC receives a 

new claim for an additional medical condition, or new survivor, 

the new claim form is date-stamped and forwarded to the CMR for 

processing, as outlined in Item 3 above. 

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a. Case Assignments. New claims in existing cases are 

assigned to the appropriate district office and CE, as 

outlined above in Item 4. However, if the case is found to 

be currently outside of the jurisdictional office (i.e. at 

FAB or National Office), the new claim will be assigned to 

the district office CE assigned to the case. 

b. Medical Evidence Only. If the claimant submits medical 

evidence for an unclaimed condition (i.e., medical evidence 

indicating the presence of an illness which identified as 

being potentially work-related) without a claim form, or 

document with “words of claim” for a covered condition, the 

CE contacts the claimant to request the appropriate claim 

form. He or she can also forward the evidence to a RC for 

assistance in initiating a new claim. 

c. Survivorship Evidence Only. If a new survivor 

submits survivorship evidence (e.g., birth certificate, 

marriage certificate, school records) without a claim form, 

the district office or RC contacts the claimant to request 

he or she complete Form EE-2. 

d. Wage-Loss and Impairment Claims. In cases in which a 

claimant submits Form EE-10, Claim for Additional Wage-Loss 

and/or Impairment under the EEOICPA, the CMR does not 

submit the form into the Case Create Queue. Any EE-10 

received in the CMR is scanned as regular mail and appears 

in the assigned CE’s “Unreviewed Assigned” document queue, 

at which time the CE is responsible for reviewing the claim 

form, entering the appropriate information into ECS and 

completing appropriate development actions. This data entry 

process also applies when a claimant submits “words of 

claim” in lieu of Form EE-10 to requesting wage-loss and/or 

impairment benefits. 

9. Withdrawal of a Claim. A claimant is able to withdraw his 

or her claim for benefits for any claimed condition(s), or wageloss or impairment, prior to the issuance of a Final Decision 

for the requested benefit(s). All requests to withdraw a claim 

for benefits must be in writing, signed by either the claimant 

or his or her authorized representative, and specific in 

reference to what Part or Parts under the EEOICPA the claim is 

to be withdrawn.

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LETTER OF ACKNOWLEDGEMENT

Date Case ID Number: 

 Claimant ID Number: 

 Energy Employee’s Last Name:

 Last 4 of Energy Employee’s SSN:

Name

Address 

City, State Zip

 

Dear Mr./Ms. Claimant: 

We have received your claim under the Energy Employees Occupational Illness 

Compensation Program Act (EEOICPA). We have entered your claim into our system 

and assigned it the above Case ID number. You should refer to this number when 

calling our office and write it on the top right corner of any correspondence you submit 

in support of your claim. 

Your claim has been assigned to a Claims Examiner for review. If additional information 

is required, the Claims Examiner will request it through a separate correspondence. 

During the adjudication of your claim you may be assigned a new Claims Examiner due 

to unforeseen circumstances. In these instances, the new Claims Examiner will review 

your file and handle your claim expeditiously so as to not cause delays. 

Submission of Documents and Claimant Status Web Page: All correspondence are to 

be mailed to our Central Mail Room in London, KY or uploaded electronically through 

our secure internet service called the Energy Document Portal (EDP). Information about 

these two methods of document submission is included in the attached information 

sheet. We also have an online web-based Claimant Status Web Page that makes 

information available online to claimants. Instructions for accessing this website are 

also included in the attached information sheet.

To speak with someone directly, our Customer Service Representatives are available to 

answer many of your questions regarding the processing of your claim. Our 

representatives are available Monday through Friday between 8:00 am and 4:30 pm. 

You may also obtain information through your local resource center or by visiting our 

website at: http://www.dol.gov/owcp/energy/. I assure you every effort will be made to 

process your claim in a timely manner. If you have any questions, please feel free to 

contact us, toll free, at 1-888-859-7211. 

____________________________________________________________________________________ 

If you have a disability (a substantially limiting physical or mental impairment), please contact our office for 

information about the kinds of help available, such as communication assistance (alternate formats or sign 

language interpretation), accommodations and modifications.

 Page 1 of 3 Exhibit 1

 

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Sincerely, 

District Director

District Office

cc: Authorized Representative Name, Authorized Representative

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U.S. Department of Labor

Important Information about your EEOICPA claim

_________________________________________________

For Correspondence by Mail

Please write your Case ID Number on the top right hand corner of any correspondence and mail 

to:

Energy Employees Occupational 

Illness Compensation Program

DOL DEEOIC Central Mail Room

P.O. Box 8306 

London, KY 40742-8306 

 

Do not send original documents such as certified copies of birth certificates, pictures, death 

certificates, medical films, or marriage certificates with a raised seal – These documents will NOT

be returned to you. 

_________________________________________________

Energy Document Portal (EDP)

The Energy Document Portal allows you to electronically submit documents directly to your case 

and will decrease mailing delays. You can access our EDP at https://eclaimant.dol-esa.gov and 

you will need the following information:

• your Case ID as indicated above;

• the Energy Employee’s last name; and

• the last 4 digits of the Energy Employee’s Social Security Number. 

_________________________________________________

Online Claimant Status Page

You may obtain a general status of your claim by visiting our Claimant Status Page website. This 

website allows claimants access to limited claims information from the same electronic claims 

database that is used by DEEOIC claim examiners. Available information includes: claimed 

medical conditions, worksite locations, most recent claim action, payment information, and 

current case location.

The website can be accessed at: 

http://www.dol.gov/owcp/energy/regs/compliance/Claimant_status.htm

You will be asked to provide 3 pieces of data unique to your individual claim: 

(1) The last four digits of the Employee’s social security number;

(2) Your full date of birth; and,

(3) The unique 8-digit claimant identification number. This is for internet access only.

Questions and concerns regarding this website should be directed to this office.

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