FEDERAL (EEOICPA) PROCEDURE MANUAL Chapter 1-0100 

Part 1 - Mail and Files Introduction 

________________________________________________________________

TABLE OF CONTENTS 

Paragraph and Subject Page Date Trans. No. 

Chapter 1-0100 Introduction 

 Table of Contents. . . . . . . i 04/09 09-02 

 1 Purpose and Scope. . . . . . . 1 04/09 09-02 

 2 Responsibilities . . . . . . . 1 04/09 09-02 

 3 Contents of Part 1 . . . . . . 1 04/09 09-02 

 4 Automated Systems Support. . . 2 04/09 09-02 

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1. Purpose and Scope. This part of the Energy Employees 

Occupational Illness Compensation Program Act (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). 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. Mail and File (M&F) Staff. M&F Staff process mail, 

create and maintain physical case files, pull and deliver 

case files within a DEEOIC Office, and loan or transfer 

case files to other DEEOIC Offices. 

b. Automated Systems Support Staff. Systems support 

staff create and transfer case files in the automated 

system, enter data, key location changes, assign docket 

numbers, and produce reports to support case processing. 

c. Claims Examiners (CE), CE2, FAB Representatives, and 

NO Representatives. Personnel in the claims processing 

units key location and status changes in the Energy Case 

Management System (ECMS). These staff members are 

responsible for ensuring that case files are forwarded to 

the appropriate locations within their respective offices. 

Only files with pending action are kept at the physical 

location of the applicable CE, CE2, FAB Representative, or 

NO Representative. 

3. Contents of Part 1. The chapters and their subjects are: 

a. Chapter 1-0200, Processing Mail. This chapter 

describes the kinds of mail which the DOs, CE2 Units, FABs, 

and NO receive and how to handle each kind, including 

priority correspondence. It also addresses sorting, 

recording, and searching for mail, safeguarding Personally 

Identifiable Information (PII), processing outgoing mail, 

and the proper handling of returned mail. 

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3. Contents of Part 1. (Continued) 

b. Chapter 1-0300, Case Creation. This chapter describes 

the contents of new cases and additional new claims, and 

how to create them as physical files and as electronic 

records in ECMS. Duplicate cases, withdrawn claims, and 

the deletion of claims from ECMS are also discussed. How 

to determine a new claim’s file date and received date, 

along with the proper handling of additional new claims 

received during different stages of the claims process are 

also described. This chapter also discusses the role of 

Resource Centers in assisting the claimant with the filing 

of a claim. 

c. Chapter 1-0400, Case Maintenance. This chapter 

describes how to maintain case files. It includes 

procedures for dividing file material, reconstructing, and 

repairing damaged folders. It also addresses the FAB 

docketing process and changes made in ECMS, including a 

change of address. 

d. Chapter 1-0500, Transfers and Loans. This chapter 

describes how to send case files between the various 

offices within the DEEOIC on either a temporary or 

permanent basis and how to refer case records to the 

National Institute for Occupational Safety and Health 

(NIOSH) or to a medical or scientific specialist in NO. 

4. Automated Systems Support. The work of the M&F Staff is 

closely tied to the automated systems support functions within 

the DO, CE2 Unit, FAB, and the NO and some of those functions 

are referenced in the chapters that follow. Specific 

instructions for using the automated system are set forth in the 

Energy Case Management System (ECMS) Users Manuals and related 

policy will be found in EEOICPA PM 2-2000 and 2-2100. 

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TABLE OF CONTENTS 

Paragraph and Subject Page Date Trans. No. 

Chapter 1-0200 Processing Mail 

 Table of Contents . . . . . . i 04/09 09-02 

 1 Purpose and Scope . . . . . . 1 04/09 09-02 

 2 Mail and File (M&F) Staff. . . 1 04/09 09-02 

 3 Types of Mail. . . . . . . . . 1 04/09 09-02 

 4 Initial Sort . . . . . . . . . 3 04/09 09-02 

 5 Opening and Date-Stamping Mail 4 04/09 09-02 

 6 Identifying Case Locations . . 5 04/09 09-02 

 7 Handling of Mail . . . . . . . 6 04/09 09-02 

 8 Responding to Priority 

 Correspondence . . . . . . . 8 04/09 09-02 

 9 Personally Identifiable 

 Information (PII). . . . . . 9 04/09 09-02 

 10 Outgoing Mail. . . . . . . . . 17 04/09 09-02 

 11 Returned Mail. . . . . . . . . 17 04/09 09-02

Exhibits 

 1 FOIA Process Flow. . . . . . . 04/09 09-02 

 2 Data Release Form. . . . . . . 04/09 09-02 

 3 USPS Postmaster Address 

 Request Letter . . . . . . . 04/09 09-02 

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1. Purpose and Scope. This chapter identifies the different 

kinds of mail received in a Division of Energy Employees 

Occupational Illness Compensation (DEEOIC) Office and describes 

the procedures for processing them. Instructions are provided 

on how to sort, open, and date-stamp incoming mail. In 

addition, procedures for searching cases for mail association, 

processing outgoing mail, and handling returned mail are 

provided. Guidance is also provided for the handling of 

priority correspondence, including requests under the Freedom of 

Information Act (FOIA) and the Privacy Act, and the safeguarding 

of Personally Identifiable Information (PII) in the disclosure 

of claim records.

2. Mail and File (M&F) Staff. These individuals process mail 

received in the District Office (DO), Secondary Claims Examiner 

(CE2) Unit, Final Adjudication Branch (FAB), and the National 

Office (NO). They open and date-stamp incoming mail and then 

use the “Inquiry” option in the Energy Case Management System 

(ECMS) to obtain file numbers and case locations. They also 

determine the responsible Claims Examiner (CE), CE2, FAB 

Representative, or NO Representative, key case locations, and 

place incoming mail in the responsible staff member’s mailbox. 

These individuals are also responsible for processing outgoing 

mail. 

3. 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; 

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3. Types of Mail. (Continued) 

(6) Members of the Cabinet; 

(7) Heads of independent Federal establishments; 

(8) Governors of States; 

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

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

(10) Directors/Managers of employee organizations; 

(11) Directors/Managers of national and international 

labor organizations; 

(12) Members of the press; and 

(13) 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 EE-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. Routine Mail. This mail, which is screened by 

designated DEEOIC staff, includes: 

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3. Types of Mail. (Continued) 

(1) Documents from claimants and their authorized 

representatives, such as: medical records; employment 

records; exposure records; birth, marriage, and 

death certificates; school records; affidavits; 

address changes; waivers; and requests for an oral 

hearing, a review of the written record, a 

reconsideration, or a 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); 

(4) Medical reports from attending physicians; 

(5) Mail from contractual sources, including reports 

from The Center to Protect Workers’ Rights (CPWR), 

District Medical Consultants (DMCs), and second 

opinion and referee specialists; 

 (6) Occupational/Exposure reports from Industrial 

Hygienists (IHs) and Toxicologists (TXs); 

(7) Requests for information from other Federal, 

state, and local government agencies; and 

(8) Case-specific documents forwarded from other 

offices within DEEOIC, including the Resource Centers 

(RC), for file association. 

e. Other Mail. This includes mail which does not concern 

specific claims. 

4. Initial Sort. The M&F Clerk(s) separates certain envelopes 

from the rest of the incoming mail, as follows: 

a. Mail for Delivery Without Opening. This mail 

includes: 

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4. Initial Sort. (Continued) 

(1) Certified mail which requires the M&F Clerk to 

sign a receipt; 

(2) Mail for the Director, Regional Director, Branch 

Chiefs, District Director, or the administrative 

staff, who consist of the Administrative Officer, 

Management Officer, and the secretaries who conduct 

business on behalf of the NO, Regional Office, FAB, or 

the DO; 

(3) Material from the NO; and 

(4) Mail marked "Do Not Open in Mail Room" or the 

like (at the discretion of the DO, FAB, Regional 

Office, or NO). 

b. Mail for a Third Party Outside of OWCP. If the third 

party is located in the same building, the mail is 

delivered to him or her. If not, it is returned to the 

sender unopened. 

5. Opening and Date-Stamping Mail. 

a. Opening Mail. The M&F Clerk must: 

(1) Check the contents inside of each envelope 

carefully to ensure that all contents are removed. If 

the contents include a Form EE-1 or EE-2, 

correspondence with words expressing the desire to 

file a claim, a waiver, or a request for an oral 

hearing, a review of the written record, a 

reconsideration, or a reopening, the envelope is kept 

and attached to the document; and 

(2) Circle the file number. 

b. Date-Stamping Mail. The date stamp prints the 

location of the receiving DEEOIC Office and the year, 

month, day, and time of receipt. The date stamp is either 

an ink stamp or a perforated stamp. All incoming mail is 

date-stamped before leaving the Mail Room. The M&F Clerk 

date-stamps each item of mail on the front of the item. If 

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5. Opening and Date-Stamping Mail. (Continued) 

a piece of mail consists of multiple pages, each page is 

date-stamped individually. The date stamp reflects the 

actual date that the incoming mail is received in a DEEOIC 

Office, and not necessarily when it is reviewed by a DEEOIC 

staff member. 

(1) If an ink stamp is used, the stamp is not placed 

over any writing. 

6. Identifying Case Locations. The M&F Clerk identifies which 

case each piece of mail belongs to and its location prior to 

associating the mail with the case. 

a. Unnumbered Mail. If the mail does not contain a file 

number, the M&F Clerk finds the number by entering the 

claimant’s name in the “View Case” function under the 

“Inquiry” option in ECMS. 

(1) If a match is found, the M&F Clerk notates the 

file number, current location code, and the assigned 

CE, CE2, FAB Representative, or NO Representative in 

the upper right corner. The mail is then placed in 

the appropriate location to be sorted and forwarded to 

the assigned DEEOIC staff member. 

(2) If a match is not found, the M&F Clerk writes 

"NID" (not in database) in the upper right corner and 

gives it to the appropriate Supervisory CE or Manager, 

who decides whether to create a case, route the mail 

within the respective DEEOIC Office without having to 

create a case, or return it to the sender. 

b. Numbered Mail. If the mail contains a file number, 

the M&F Clerk uses the “View Case” function under the 

“Inquiry” option in ECMS to obtain the current location 

code and the assigned CE, CE2, FAB Representative, or NO 

Representative. He or she notates that information on the 

upper right corner. 

(1) If an error message appears when the file number 

is entered, the M&F Clerk enters the claimant’s name 

in the “View Case” function under the “Inquiry” option 

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6. Identifying Case Locations. (Continued) 

in ECMS to verify that the mail contains the correct 

file number. If it does not, the M&F Clerk notates 

the correct number in the upper right corner on the 

piece of mail. 

(2) If the correct file number cannot be identified, 

the M&F Clerk gives the mail to the appropriate DEEOIC 

staff member (See paragraph 6a(2) above). 

c. Mail for Other DEEOIC Offices. Mail sent to other 

DEEOIC Offices, including mail for cases that have been 

loaned or transferred, is date-stamped, collected, and 

forwarded to the appropriate DEEOIC Office, as identified 

in ECMS, on a daily basis by the USPS or by private 

overnight mail service. 

7. Handling of Mail. After checking the mail for its file 

number and location, the M&F Clerk handles it according to type. 

a. Groups of Mail. The M&F Clerk sorts the mail into the 

following groups: 

(1) Priority correspondence, along with the case 

file, is hand carried to the person designated to 

handle priority correspondence in the DEEOIC Office; 

 

(2) Primary claim forms require creation of a new 

case unless a case has already been created and coded 

(See EEOICPA PM 1-0300). The M&F Clerk then keys the 

case in ECMS and delivers it to the assigned CE, CE2, 

FAB Representative, or NO Representative; 

(3) Bills including, but not limited to, medical 

services/testing, medical supplies, medical travel 

expenses, home and automobile modifications, spa/gym 

membership, and impairment rating reports (performed 

by the claimant’s chosen physician) for the accepted 

condition(s) are forwarded to the assigned CE, CE2, 

FAB Representative, or NO Representative who then 

forwards them to the Bill Processing Agent (BPA) on 

behalf of the claimant. 

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7. Handling of Mail. (Continued) 

Bills for copying medical records for a claimed 

condition(s) are forwarded to the assigned CE, CE2, 

FAB Representative, or NO Representative who then 

forwards them to the BPA on behalf of the claimant. 

Bills for medical reports from DMCs are first routed 

to the District Medical Scheduler, for tracking 

purposes, who then forwards to the assigned CE, CE2, 

FAB Representative, or NO Representative for review 

and coding in ECMS. 

In those cases where there is an offset/surplus, it is 

especially important for DEEOIC staff to review 

incoming bills (excluding those for impairment ratings 

or from DMCs) and then forward to the Fiscal Officer 

for tracking purposes; 

(4) Routine mail is sorted by assigned CE, CE2, FAB 

Representative, or NO Representative and delivered to 

each respective unit. However, the following kinds of 

mail are delivered directly to the Fiscal Officer, at 

the DO’s discretion: 

(a) Requests for action when a check was lost or 

an electronic funds transfer (EFT) was not 

received; and 

(b) Transactions or other documents from the 

Department of the Treasury; and 

(5) Other mail is handled as follows: 

(a) General inquiries include questions about 

OWCP's practices and requests for technical 

assistance. Letters in this category are routed 

accordingly at the discretion of the applicable 

DO, FAB, or NO; and 

(b) Interoffice memorandums are routed according 

to the party addressed. 

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7. Handling of Mail. (Continued) 

b. Sorting and Associating Mail. Mail screened by the 

M&F Clerk is sorted each day and associated with the case 

files. 

(1) When mail is placed in the assigned DEEOIC staff 

member’s mailbox, the case file remains where it is, 

or is retrieved and given to the person working at 

that location, according to specific procedures 

established in each DO, FAB, and in NO. 

(2) The M&F Clerk does not remove a case file from 

its location (other than from the File Room) without 

notifying the DEEOIC staff member responsible for it. 

The M&F Clerk enters a location code change in the 

“Case Update” screen of ECMS for any case that is 

moved (See EEOICPA PM 1-0500 Exhibit 2). 

8. Responding to Priority Correspondence. Priority 

correspondence generally pertains to the request of information 

and/or status on a claim from the claimant or an authorized 

third party. Consequently, priority correspondence is very 

delicate in nature and highly time sensitive, which requires 

careful attention in its review and response. Actions 

pertaining to the receipt of and response to priority 

correspondence must be properly tracked. 

Of the priority correspondence listed in paragraph 3a above, the 

more common ones encountered during the claim adjudication 

process are Freedom of Information Act (FOIA) requests, Privacy 

Act requests, and Congressional Inquiries. These requests are 

submitted in writing and signed by the claimant or authorized 

representative. In instances where a third party makes the 

request, a waiver signed by the claimant or authorized 

representative must be included. 

a. Freedom of Information Act. Freedom of Information 

Act (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 very 

important, as they involve the disclosure of specific 

documentation pertaining to the DEEOIC and/or its 

claimants. 

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8. Responding to Priority Correspondence. (Continued) 

FOIA requests are highly time sensitive and require careful 

attention. Each DEEOIC Office needs to have a FOIA 

coordinator to effectively facilitate the identification 

and processing of FOIA requests. The request itself 

contains such verbiage that includes “request for records” 

and/or the acronym “FOIA”. Exhibit 1 is the FOIA Process 

Flow chart which identifies the steps to take in order to 

accurately and expeditiously process a FOIA request that is 

received in a DEEOIC Office. 

b. 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 that are maintained in federal “systems of 

records” (e.g., claim files) and are retrievable by his or 

her name or other personal identifier. 

Examples of Privacy Act requests received by DEEOIC include 

requests for a copy of an entire case file or a specific 

document from the case file (e.g., a DMC report, SSA 

records). Privacy Act requests are submitted by claimants, 

authorized representatives, or third parties. 

c. Congressional Inquiries. On behalf of their 

constituents, written inquiries are made by Congressional 

Offices pertaining to a claimant’s DEEOIC claim. These 

inquiries are reviewed and responded to in a written letter 

to the requesting Congressional Office within a timely 

manner. 

9. Personally Identifiable Information (PII). Personally 

Identifiable Information (PII) is defined as information that 

can be used to distinguish or trace an individual’s identity, 

such as his or her name, Social Security Number (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. 

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9. Personally Identifiable Information (PII). (Continued) 

During the claim adjudication process, the DEEOIC collects, 

maintains, and shares a large amount of data. It is of utmost 

importance that all DEEOIC staff maintains the integrity of the 

privacy of the claim records and safeguard the PII contained 

within the documents from unauthorized and improper disclosure. 

In addition, DEEOIC staff need to exercise care and vigilance in 

the daily operations of accessing, processing, transporting, and 

storing of sensitive data on end-user computing devices and 

portable media. All DEEOIC staff must ensure that information 

provided to the recipient (e.g., development letters, 

Recommended Decisions, Final Decisions, Director’s Orders, 

copies of records) is accurate and pertains to that recipient 

(does not contain another individual’s PII). 

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 to, the 

following: SSN; credit card number; bank account number; 

residential address; residential or personal telephone 

number; biometric identifier (e.g., image, fingerprint, 

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 

the following: 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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9. Personally Identifiable Information (PII). (Continued) 

(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 

PII; however, documentation referring to a deceased person 

can contain PII regarding living relatives, authorized 

representatives, or work associates. As such, the DEEOIC 

staff member must be cognizant and cautious about the 

information pertaining to living individuals in the 

deceased employee’s case record. 

e. Information Pertaining to Living Individuals. All 

DEEOIC staff must prevent the unauthorized release of PII 

contained in paper records, CDs, electronic records (e.g., 

e-mails), or any other material for any living individual. 

This includes materials received from NIOSH, DOE (e.g., 

Document Acquisition Request (DAR) records), CPWR, 

corporate verifiers, RCs, unions, or any other source. 

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

individuals. The DEEOIC staff member must thoroughly 

review all the documents on the CD before releasing 

the information. If a document contains PII on an 

individual other than the claimant, the DEEOIC staff 

member prints the document and redacts the other 

individual’s PII by concealing the information with a 

black marker, opaque tape, or other method that 

completely removes the PII. The DEEOIC staff member 

then makes a photocopy of the newly redacted record to 

ensure that the redacted information cannot be 

detected from the document(s). 

DEEOIC staff identify CDs (which remains in the case 

file) that contain PII on other individuals by placing 

a label on it that states the following: 

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9. Personally Identifiable Information (PII). (Continued) 

NOTICE DEEOIC EMPLOYEE: 

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 any release of the information 

from the CD, 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. 

(2) All DEEOIC staff must comply with all prescribed 

OWCP directives concerning the use of e-mails 

containing PII. 

 (a) E-mails sent from one DEEOIC employee to 

another DOL employee through the Employment 

Standards Administration (ESA) wide-area network 

(WAN) are considered secure. E-mails to and from 

contractors who use the ESA network (ESA owned 

and properly configured equipment, including 

remote laptops that access the ESA WAN) are also 

considered secure. Central Bill Process (CBP) 

“threads” provided through the BPA’s secured 

website conform to this policy, as they are also 

secured within an accredited network. 

DEEOIC staff are permitted to list the employee’s 

name and file number in the body of an e-mail 

message. However, the employee’s name (nonsensitive PII) combined with the file number 

(Protected PII) is not permitted to be listed in 

the subject portion of the e-mail (can only list 

one or the other). 

(b) E-mails between DEEOIC employees and parties 

outside of the ESA network (e.g., RCs, corporate 

verifiers, NIOSH, DOE) are not secured. As a 

result, DEEOIC staff are not permitted to 

disclose any Protected PII in any part of the 

e-mail message and the attachments must be 

password protected or encrypted. Therefore an 

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9. Personally Identifiable Information (PII). (Continued) 

e-mail message can contain the last name and last 

four digits of an individual’s SSN in the text of 

the message, as long as the remainder of the SSN, 

full name, or other PII is not listed anywhere in 

the e-mail message. As such, DEEOIC staff must 

either fax or mail development letters to 

corporate verifiers. 

(c) DEEOIC staff are permitted to receive 

e-mails that contain PII in the message from a 

party outside of the ESA network. Case specific 

e-mails received from an outside party containing 

Protected PII are printed and placed in the case 

file. However, DEEOIC staff must not confirm the 

existence of cases for specific claimants to 

members of the public who are not a party to the 

cases. DEEOIC staff are only permitted to reply 

with an acknowledgement e-mail, removing any 

personal identifiers from the sender’s message 

and also advising the sender (e.g., claimants, 

physicians, Congressional Offices) that DEEOIC 

does not conduct claims communication over 

e-mail, but by telephone or letter instead, as 

the e-mail cannot be considered secured. 

In addition, DEEOIC staff remove Protected PII in 

e-mail message chains and attachments prior to 

forwarding them outside of the ESA network. 

However, if it is not possible to alter or redact 

the document or e-mail, or if it is necessary 

that the attachment or e-mail includes both the 

claimant’s name and file number or SSN, then the 

DEEOIC staff member faxes or sends the document 

via mail or courier to the appropriate party. 

Packages containing extracts of multiple 

Protected PII records (e.g. to CPWR, DOE, RCs) 

sent via courier need to be tracked (e.g., by 

Registered Mail, Return Receipt, Fed Ex). 

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9. Personally Identifiable Information (PII). (Continued) 

(d) E-mail messages with the BPA concerning 

claimants are to only include the claimant’s CBP 

Member ID (from the CBP claimant eligibility 

file). Claimant names are not included in the 

e-mail message, unless they are provided in an 

encrypted attachment. 

f. Handling the Signed Written Request for Copy of Case. 

Upon receiving a signed written request from a claimant or 

authorized representative for a copy of the case file, the 

assigned CE, CE2, FAB Representative, or NO Representative 

takes the following actions for the release of records in a 

paper format: 

(1) Completes the Data Release Form (See Exhibit 2) 

by listing the employee’s name, file number, name of 

the assigned CE, date of the request to copy the file, 

name of the requestor for the file copy, and to whom 

the file copy is to be sent to; 

(2) Copies the case file and reviews each page of 

the copied documents for any PII that does not belong 

to the requestor; 

(3) Redacts any PII found, not belonging to the 

requestor, to thoroughly conceal the PII. Once 

completed, the assigned CE, CE2, FAB Representative, 

or NO Representative lists his or her name as the 

Initial Reviewer, the date in which the Initial Review 

was completed, and signs his or her name with the date 

at the bottom of the form; 

(4) Copies the redacted documentation and combines 

that with the remainder of the copied documentation 

that did not require redaction; 

(5) Forwards the photocopies, the case file, and the 

signed Data Release Form to his or her Senior CE, 

Supervisory CE, or FAB Hearing Representative (the 

Final Reviewer) to ensure the documents are 

appropriately redacted; and 

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9. Personally Identifiable Information (PII). (Continued) 

(6) Mails the documentation to the requestor, once 

the second level of verification has been completed 

with the Final Reviewer listing his or her name, 

signing, and dating the Data Release Form. The 

original copy of the Data Release Form is filed down 

on the spindle in the original case file. 

g. Protected PII and Portable Media. 

(1) DEEOIC staff only store Protected PII on 

portable media when absolutely necessary, as 

determined by DEEOIC. Protected PII on portable media 

devices including laptops issued by DOL must be 

protected with encryption. All removable storage 

media, such as flash drives, CDs, DVDs, writable 

optical media, and external hard drives that store 

Protected PII, must be encrypted. 

All reasonable measures are 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 in active use. 

(a) DOE and NIOSH submit CDs containing claimant 

PII to DEEOIC in accordance with DOE and HHS 

policies. Both DOE and NIOSH have assured DEEOIC 

that these policies address the sensitivity of 

the materials, and provide adequate protection of 

claimant PII. 

(2) Delivery of portable media containing Protected 

PII including CDs, DVDs, or other writable media is 

done through the USPS or another DOL authorized 

delivery service with the ability to track pickup, 

receipt, transfer, and delivery. The portable media 

needs to be encrypted according to DOL standards and 

then double-wrapped in an opaque package or container 

that is sufficiently sealed to prevent inadvertent 

opening or signs of tampering. The decryption key is 

not included in the same package as the portable 

media, but instead sent in a separate package. 

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9. Personally Identifiable Information (PII). (Continued) 

h. Disposal of Documents and Electronic Media Containing 

Protected PII. Documents and electronic media containing 

PII are not discarded in wastebaskets, but instead 

discarded in recycle bins picked up for shredding or 

burning. 

i. Improper Release of Protected PII. If Protected PII 

is improperly released as a result of the inadvertent 

mailing of a case record copy to an incorrect individual or 

the documentation sent to the correct individual contains 

Protected PII of another person that was not redacted, a 

DEEOIC staff member must take the following actions: 

(1) Contacts 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 Office; 

(2) Immediately notifies his or her management who in 

turn notifies the Regional Director, who complies with 

established Departmental reporting requirements 

documenting the type of PII disclosure, the 

circumstances surrounding the disclosure and how it 

was discovered, the appropriate actions taken 

to recover the PII document in question, and the 

disposition of the recovery effort; and 

(3) Tracks 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 his or her management, through 

the Regional Director, to the NO who provides 

guidance on determining what actions need to be 

taken. 

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10. 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. 

b. Heavy Envelopes and Packages. Such parcels are 

securely wrapped with heavy-duty plastic tape. Likewise, 

boxes of case files are packed securely. 

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

Airmail letters for overseas delivery are bundled 

separately from regular mail. 

d. Registered and Certified Mail. These types of mail 

are processed according to USPS regulations and specific 

procedures established in each DO, FAB, and in NO. 

e. Overnight Express Mail. The services of the 

designated contractor are used at the discretion of the DO, 

FAB, or NO. 

11. Returned Mail. At any point during the processing of a 

claim, there are instances when a DEEOIC Office mails 

correspondence to the claimant or authorized representative and 

it gets returned to the DEEOIC Office by the USPS. The 

effective handling of claims depends heavily on ensuring that 

the claimant and authorized representative receive the 

correspondence sent by a DEEOIC Office. Therefore it is 

important that a DEEOIC Office has the claimant’s and authorized 

representative’s current mailing address and phone number(s) and 

if not, then to make sufficient attempts to find/obtain that 

information, prior to administratively closing the claim. The 

returned mail is filed down on the spindle and retained in the 

case file. 

 a. Inaccurate Mailing Address. On occasion, printing 

errors occur in which the claimant’s or authorized 

representative’s mailing address on correspondence contains 

a typo, is transposed, or is incomplete. When this occurs, 

the USPS returns the correspondence as returned mail. The 

 

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11. Returned Mail. (Continued) 

 assigned CE, CE2, FAB Representative, or NO Representative 

reviews the mailing address on the correspondence and 

compares it to the mailing address on the claim form, ECMS 

and/or signed authorized representative letter to determine 

if a typo (e.g., NY vs. NM) or transposition (e.g., 3210

vs. 3201) was made, or part of the address was missing 

(e.g., left out the ZIP code). If this is the case, then 

the assigned CE, CE2, FAB Representative, or NO 

Representative resends the correspondence with a corrected 

version of the mailing address and updated/current date. 

In addition, since the returned mail was as a result of a 

DEEOIC Office’s action, the “Claim Status Dt” (of that 

specific claim status code) is updated under the “Claim 

Status History” section in the “Claim Update” screen of 

ECMS with the date of the resent correspondence. 

 b. Mailing Address Not Fully Visible in Window Envelop. 

The USPS returns mail when the mailing address is not fully 

visible in the window envelope. In this instance the 

assigned CE, CE2, FAB Representative, or NO Representative 

either resends the correspondence (with an updated/current 

 date) in another window envelope ensuring that the 

correspondence is folded in such a way that the mailing 

address is fully visible or encloses the correspondence in 

an envelope with the address printed on the outside. The 

assigned CE, CE2, FAB Representative, or NO Representative 

 must also ensure that the mailing address is correct and 

error free prior to resending the correspondence. In 

addition, since the returned mail was as a result of a 

DEEOIC Office’s action, the “Claim Status Dt” (of that 

specific claim status code) is updated under the “Claim 

Status History” section in the “Claim Update” screen of 

ECMS with the date of the resent correspondence. 

 c. Forwarding Address. Sometimes claimants or authorized 

representatives notify the USPS but not a DEEOIC Office of 

a temporary or permanent change of address. When this 

happens and a DEEOIC Office receives returned mail, the 

USPS affixes a label on the returned mail/envelop with the 

forwarding address. The assigned CE, CE2, FAB 

Representative, or NO Representative resends the 

correspondence to the forwarding address and encloses a 

 

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11. Returned Mail. (Continued) 

 request letter to the claimant or authorized representative 

requesting a signed letter providing his or her current 

mailing address and phone number(s), which is updated in 

ECMS and in the case file (See EEOICPA PM 1-0400). Since 

the returned mail was not as a result of a DEEOIC Office’s 

action, the date of the correspondence and claim status 

code in ECMS does not change (does not get updated in ECMS 

with the current date). 

 d. Unknown Address. When mail is returned, without a 

forwarding address provided by the USPS, printing error, or 

not being fully visible in a window envelope, the assigned 

CE, CE2, FAB Representative, or NO Representative takes the 

following actions to determine the mailing address for the 

claimant or authorized representative: 

(1) Check the Social Security Death Index 

Interactive Search website at 

http://ssdi.rootsweb.ancestry.com/cgi-bin/ssdi.cgi to 

determine if the claimant or authorized representative 

is deceased or not. A print out of the search is made 

and filed down on the spindle in the case file; 

(2) Call the claimant or the authorized 

representative, explain the situation about the 

returned mail, request the current mailing address 

over the phone, and advise that he or she must provide 

a signed letter with the updated address. The 

assigned CE, CE2, FAB Representative, or NO 

Representative follows up the phone call with a 

written letter memorializing the phone conversation 

and requesting a signed letter with the updated 

address to be submitted to the DEEOIC Office. 

 

When the case file contains multiple claimants, the 

assigned CE, CE2, FAB Representative, or NO 

Representative contacts the other claimant(s) to see 

if they have any contact information on the claimant 

or authorized representative; 

(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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11. Returned Mail. (Continued) 

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

information on the claimant or authorized 

representative; 

(5) Send a letter to the USPS Postmaster to inquire 

about the current mailing address for the claimant or 

authorized representative. The letter includes the 

name (non-sensitive PII) and last known address of the 

claimant or authorized representative (not considered 

as Protected PII because evidence in the file, via the 

returned mail, shows that the address is no longer 

linked to his or her identity)(See paragraph 9 above). 

The letter is addressed to the Postmaster at the city, 

state, and five digit ZIP code of the claimant’s or 

authorized representative’s last known address. After 

the five digit ZIP code, a dash is followed by “9998”. 

This alerts the Postmaster to determine the local post 

office that last provided mail delivery service to the 

claimant or authorized representative. 

The assigned CE, CE2, FAB Representative, or NO 

Representative provides his or her name, phone number, 

fax number, and mailing address in the letter for the 

USPS Postmaster to contact with the response (See 

Exhibit 3 for a sample letter). For contact 

information (e.g., phone number, fax number) on the 

claimant’s or authorized representative’s local post 

office(s), the assigned CE, CE2, FAB Representative, 

or NO Representative goes to the website at 

http://www.usps.com/ and picks the option “Locate a 

Post Office”. 

 e. Administrative Closure of Claim. Once the assigned 

CE, CE2, FAB Representative, or NO Representative has 

exhausted all efforts and is unable to obtain the current 

mailing address for the claimant or authorized 

representative, the claim is in a posture for an 

administrative closure. The assigned CE, CE2, FAB 

Representative, or NO Representative prepares a memorandum, 

for his or her Supervisory CE’s or Manager’s review and 

 signature, stating how the claim is being administratively 

 

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11. Returned Mail. (Continued) 

 closed because of returned mail and outlining the 

actions/attempts taken to obtain the current mailing 

address. The signed memorandum is filed down on the 

spindle and retained in the case file. The Supervisory CE 

or Manager enters “C2-Admin Closure” under the “Claim 

Status History” section in the “Claim Update” screen of 

ECMS. The “Claim Status Dt” is the date of the signed 

memorandum. 

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FOIA Process Flow 

EEOICPA Tr. No. 09-02 Exhibit 1 

April 2009 

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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 does not contain Personally Identifiable 

Information (PII) or any PII has been redacted. 

_________________________________________ ___________ 

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

_________________________________________ ___________ 

(Final Reviewer) (Date) 

EEOICPA Tr. No. 09-02 Exhibit 2 

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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 

EEOICPA Tr. No. 09-02 Exhibit 3 

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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 

Attn: Printed Name 

Number/Street Name 

City, State, Zip Code 

Fax Number: XXX-XXX-XXXX 

Attn: Printed Name 

Sincerely, 

Printed Name 

Title 

EEOICPA Tr. No. 09-02 Exhibit 3 

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TABLE OF CONTENTS 

Paragraph and Subject Page Date Trans. No. 

Chapter 1-0300 Case Creation 

 Table of Contents. . . . . . . i 04/09 09-02 

 1 Purpose and Scope. . . . . . . 1 04/09 09-02 

 2 New Cases. . . . . . . . . . . 1 04/09 09-02 

 3 Creating Physical Cases. . . . 4 04/09 09-02 

 4 Case Create Worksheet. . . . . 5 04/09 09-02 

 5 Creating Cases in Energy Case 

 Management System (ECMS) . . 9 04/09 09-02 

 6 Duplicate Cases. . . . . . . . 14 04/09 09-02 

 7 Claims Examiner Review . . . . 15 04/09 09-02 

 8 Claims for New Medical 

 Conditions or New Survivors 

 Before a Recommended 

 Decision . . . . . . . . . . 17 04/09 09-02 

 9 New Claims Received in the DO 

 During Case Review by FAB 

 or NO. . . . . . . . . . . . 19 04/09 09-02 

 10 Claims for New Medical 

 Conditions After a Final 

 Decision . . . . . . . . . . 21 04/09 09-02 

 11 Withdrawal of a Claim. . . . . 22 04/09 09-02 

 12 Deleting a Claim from ECMS . . 22 04/09 09-02 

 

Exhibits 

 1 Case Create Worksheet. . . . . 04/09 09-02 

 2 Letter of Acknowledgement. . . 04/09 09-02 

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

new cases, the basis for creating them, and the procedures for 

determining whether a new claim is considered as filed under the 

Energy Employees Occupational Illness Compensation Program Act 

(EEOICPA) Part B, Part E, or both. Guidance is also provided on 

the proper handling of additional new claims received during 

different stages of the claims process. 

This chapter also describes the role of the Resource Center 

(RC), the District Office (DO), and the Secondary Claims 

Examiner (CE2) Unit in the case creation process. How to create 

the physical files and, in general, how to create the electronic 

records in the Energy Case Management System (ECMS) are also 

covered in this chapter. And lastly, the process for handling 

withdrawn claims, duplicate cases, and the deletion of claims 

from ECMS is also discussed. 

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. Written Notice. A new case is created based on signed 

written communication from the claimant, claimant’s 

authorized representative, or a person acting on behalf of 

the claimant (e.g., a relative, guardian). Any one of the 

following documents is considered a request for benefits: 

(1) Form EE-1, Employee’s Claim for Benefits; 

(2) Form EE-2, Survivor’s Claim for Benefits; or 

(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. 

b. Resource Center. Each RC receives new Claims for 

Benefits, Forms EE-1 and EE-2, and provides assistance to 

claimants in the filing of their claims. The RC datestamps the claim forms upon receipt into their office. In 

instances when the claimant mails the claim form to the RC, 

the postmarked envelope is kept and attached to the claim 

form. 

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2. New Cases. (Continued) 

(1) Initial Employment Verification. As needed, RC 

staff assist the claimant in completing the Form EE-3, 

Employment History for a Claim Under the EEOICPA. For 

all new non-Radiation Exposure Compensation Act (RECA) 

claims filed at the RC, the RC staff conduct initial 

employment verification by using the “Search Orise 

Data” function under the “Inquiry” option in ECMS, 

sending a Department of Energy (DOE) Employment 

Verification Request, Form EE-5, or by sending a 

request to a corporate verifier, as appropriate. 

(2) Occupational History Development. RC staff also 

conduct occupational history development on most 

claims filed under Part E. This generally involves 

conducting an Occupational History Interview. 

(3) Time Frames. Within seven calendar days after 

receipt of a claim, the RC staff complete all possible 

initial employment verification and occupational 

history development. 

After taking the actions listed above, the RC then prepares 

a memorandum to the DO or CE2 Unit outlining their 

involvement with the claim. The RC also forwards a 

checklist to the DO or CE2 Unit, which identifies their 

completed actions on the claim. All claim forms, 

employment verification, occupational history development, 

and associated documentation are included in the package 

referred to the DO or CE2 Unit. 

c. New Cases Received Directly in the DO or CE2 Unit. 

The DOs and CE2 Units generally receive new claims directly 

from the RC after they have conducted the initial 

development steps outlined above. However, sometimes new 

claims are received directly in the DO or CE2 Unit from the 

claimant, authorized representative, or a person acting on 

behalf of the claimant. Such cases are immediately created 

and the employment verification is conducted by the DO or 

CE2 Unit. However, the RC conducts Occupational History 

Questionnaires (OHQs) on those cases, when requested by the 

DO or CE2 Unit. 

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2. New Cases. (Continued) 

Claim forms received directly from the RC or from the 

claimant are date-stamped upon receipt in the DO or CE2 

Unit and the postmarked envelope from the claimant is kept 

and attached to the claim form. 

(1) New Cases Received Directly in the National 

Office (NO). There are instances when claimants 

submit their claims to the NO instead of the RC, DO, 

or the CE2 Unit. When this occurs, the claim form(s) 

and any attached documentation are date-stamped by the 

NO and forwarded to the appropriate DO or CE2 Unit for 

case create (as discussed in this chapter) and 

processing, in accordance with jurisdiction (See 

EEOICPA PM 0-0100). The DO or CE2 Unit also datestamps the forms upon receipt into their office from 

NO. 

d. Electronic Applications. A claimant or third party 

has the option of accessing and completing a claim form 

electronically on the Department of Labor Website at 

www.dol.gov/esa/owcp/energy/regs/compliance/claimsforms.htm 

When a claim form is submitted electronically, it is 

automatically sent via e-mail to the DEEOIC Form Mailbox at 

DEEOIC-FormsReceipt@dol.gov. A claimant or third party, 

who has questions or technical problems, requests 

assistance via the DEEOIC Assistance Mailbox at 

DEEOIC-FormsAsstance@dol.gov. The Branch of Outreach and 

Technical Assistance (BOTA) manages and responds to all 

e-mails submitted to both mailboxes on a daily basis. 

(1) When claim forms are received in the DEEOIC Form 

Mailbox, BOTA reviews them to determine the DO or CE2 

Unit to assign the claim to for processing in 

accordance with jurisdiction (See EEOICPA PM 0-0100). 

Once this has been determined, a BOTA staff member 

forwards the electronic file via e-mail to the persons 

designated in the DO or CE2 Unit as the Point of 

Contact (POC) and backup. 

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2. New Cases. (Continued) 

(a) When the POC receives the e-mail, he or she 

prints the e-mail and the attached claim form(s) 

and takes them immediately to the mailroom to be 

processed and created, according to the 

procedures outlined in this chapter. 

(b) The e-mail from BOTA is treated as a 

postmarked envelope and filed down, along with 

the claim form(s), on the spindle in the case 

file. 

(c) If the POC is out of the office, the 

designated backup processes the claim form(s). 

3. Creating Physical Cases. Case files are constructed from 

letter-size (8 1/2" x 11"), half-cut Kraft folders. Each of the 

four terminal digits of the file number (i.e., the last four 

digits of the employee’s Social Security Number (SSN)) appears 

on a brightly-colored background label and is affixed to the 

outside edge of the folder. The employee’s name and the file 

number are written either on the bottom right hand portion or 

sideways along the right side on the front of the folder. 

a. Forms. New cases normally contain the following forms 

which are filed down, starting from the bottom, on a 

spindle: 

(1) Forms EE-1, EE-2, and/or document containing 

“words or claim” is filed down on the bottom of the 

spindle; 

(2) Form EE-3 is filed on top of the Forms EE-1, 

EE-2, and/or document containing “words or claim”; and 

(3) If a claim form (Forms EE-1/EE-2/document 

containing “words of claim”) for benefits already 

exists, the new claim form is placed directly after 

(i.e., on top of) the existing claim form(s). 

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3. Creating Physical Cases. (Continued) 

b. Documents. Medical reports, letters, and other 

documents are filed down in chronological order on the 

spindle (or on several spindles, if needed due to size). 

The date of a document is the date it was received (datestamped) in the DEEOIC Office. 

From the bottom to the top, the oldest documents are on the 

bottom and the newly received documents are on the top. 

However, documents that still require action (e.g., the 

payment certification form) are not placed on the spindle 

until the action is completed. Instead, they are clipped 

to the front of the case folder or inside on the left hand 

side of the file jacket. 

c. Voluminous Records. When a great number of documents 

are received from a single source (e.g., hospital records, 

prior Part D records, or records from a Document 

Acquisition Request), they are placed on a separate 

spindle, as long as the records are clearly identified as 

belonging to a single identifiable source (See also EEOICPA 

PM 1-0400). 

4. Case Create Worksheet. Once the Mail and File (M&F) staff 

construct a physical file for the new case (See paragraph 3 

above), but before the Case Create Clerk (CCC) creates the new 

case in ECMS, a DEEOIC employee with experience in claims 

processing (hereafter referred to as “designated employee”), as 

designated by the District Director (DD) or the CE2 Unit 

Supervisory CE, reviews the claim to determine whether it is 

entered in ECMS as a Part B claim, a Part E claim, or both. 

The designated employee reviews the available claim information 

about the medical condition(s) and employment claimed. Once the 

designated employee makes a determination as to the ECMS 

system(s) the claim is to be created in, he or she completes the 

Case Create Worksheet (See Exhibit 1), prints and signs his or 

her name (“Reviewer”), dates the worksheet, attaches it to the 

front of the folder, and forwards the case to the CCC for case 

creation. 

4. Case Create Worksheet. (Continued) 

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a. Part B Medical Condition. If a claim identifies a 

Part B medical condition, the Part B medical condition is 

specified on the worksheet for entry in both ECMS B 

and ECMS E. 

b. Part E Medical Condition. If a claim identifies a 

Part E covered illness only, the condition is specified for 

entry in ECMS E only. 

c. Consideration of Employment. In addition to 

considering the claimed medical condition(s), the 

designated employee considers the claimed employment when 

determining whether the case is created in ECMS B, ECMS E, 

or both. 

(1) For claims filed at the RC, the RC verifies 

employment through the Oak Ridge Institute for Science 

and Education (ORISE) in ECMS (as described in 

paragraph 2 above) or clarifies the nature of the 

claimed employment. Any attached employment 

verification documents and/or medical evidence, in 

conjunction with the claim forms, are reviewed by the 

designated employee to determine whether the claim 

belongs in ECMS B, ECMS E, or both. 

(2) If a claim identifies employment as a federal 

employee at a DOE facility and a Part B medical 

condition, the Part B medical condition is specified 

on the worksheet for entry in ECMS B only, because a 

DOE federal employee is not a covered DOE contractor 

employee under Part E. 

(3) If a claim identifies employment at an Atomic 

Weapons Employer (AWE) or a Beryllium (BE) Vendor and 

a Part B medical condition, the Part B medical 

condition is specified on the worksheet for entry in 

ECMS B only, because employment at an AWE or BE 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 BE Vendor that was designated as a DOE 

facility for remediation. 

4. Case Create Worksheet. (Continued) 

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(a) If appropriate, the assigned CE or CE2 of 

the case (not the designated employee) conducts 

additional employment development to determine if 

the latter situation holds true. If the latter 

does hold true, the assigned CE or CE2 prepares a 

memorandum and forwards it, along with the case 

file, to his or her Supervisory CE for signature 

requesting from the Chief of Operations that the 

claim be created in ECMS E. Once approved, the 

assigned CE or CE2 forwards the case file and 

signed memorandum to the CCC for case creation in 

ECMS E. 

(4) If a claim identifies a Part E medical condition 

and employment at an AWE or a BE Vendor with no 

indication of the site being designated as a DOE 

facility for remediation, the Part E medical condition 

is specified on the worksheet for entry in ECMS B 

only, because to establish covered employment under 

Part E, the employee had to have been a DOE contractor 

employee. 

Example 1: If only Part B medical conditions are 

checked on the claim form (e.g., Chronic Beryllium 

Disease, Beryllium Sensitivity, Chronic Silicosis, or 

Cancer) and DOE contractor employment is claimed, the 

designated employee checks Box 1a of the worksheet for 

data entry into both ECMS B and ECMS E. 

Example 2: Some AWE and BE Vendor facilities are 

designated as DOE facilities during periods of 

remediation. If the claimant from Example 1 instead 

claims employment with an AWE or BE Vendor during a 

period of remediation or identifies the AWE or BE 

Vendor as a DOE facility on the Form EE-3, the 

designated employee checks Box 1a of the worksheet for 

data entry into both ECMS Part B and Part E. 

Additional development by the assigned CE or CE2 is 

required to establish covered employment under Part E. 

4. Case Create Worksheet. (Continued) 

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Example 3: To establish covered employment under Part 

E, the employee had to have been a DOE contractor 

employee. If the claimant from Example 1 claims only 

employment as a DOE federal employee, the designated 

employee checks Box 2 of the worksheet for data entry 

into ECMS B only. 

 

Example 4: If a non-Part B medical condition (e.g., 

asbestosis) and DOE contractor employment are claimed, 

the designated employee checks Box 3 of the worksheet 

for data entry into ECMS E only. 

Example 5: To establish covered employment under Part 

E, the employee had to have been a DOE contractor 

employee. If the claimant claims diabetes (a non-Part 

B medical condition) and employment with an AWE or BE 

Vendor during a period in which remediation did not 

occur or does not identify the AWE or BE Vendor as a 

DOE facility on the Form EE-3, the designated employee 

checks Box 2 of the worksheet for data entry into ECMS 

B only. 

Example 6: If an employee claims prostate cancer and 

DOE contractor employment, the designated employee 

checks Box 1a of the worksheet for data entry into 

both ECMS B and ECMS E. If the same employee claims 

both prostate cancer and asbestosis, the designated 

employee checks Box 1b of the worksheet for data entry 

into both ECMS B and ECMS E. In the space provided, 

the prostate cancer is identified as a Part B and Part 

E condition, while asbestosis is identified as a Part 

E condition only. 

Example 7: If a claimant identifies chronic silicosis 

on the Form EE-2, the designated employee checks Box 

1a of the worksheet for data entry into both ECMS B 

and ECMS E, if and only if the claimant claims 

employment in underground tunnels in Nevada or 

Amchitka Island, Alaska. If the claimant indicates 

another location, the designated employee checks Box 3 

of the worksheet for data entry into ECMS E only. 

4. Case Create Worksheet. (Continued) 

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Example 8: For all new RECA 5 claims, the designated 

employee checks Box 1a of the worksheet, and the 

medical conditions are entered in both ECMS B and 

ECMS E. 

5. Creating Cases in Energy Case Management System (ECMS). 

The CCC creates new cases and adds them to the automated system. 

Any claim submitted by way of Forms EE-1, EE-2, or written 

document containing “words of claim” is created in ECMS. The 

CCC reviews the claim forms (EE-1/2 and EE-3) and the Case 

Create Worksheet prior to case creation in ECMS. 

a. Social Security Number (SSN). The database record for 

each case normally contains the employee’s SSN as the file 

number. If the employee’s nine digit SSN is not listed on 

the claim form, a nine digit dummy SSN is used. Therefore, 

new cases are created and numbered in ECMS by using the 

employee’s nine digit SSN or a nine digit dummy SSN, as 

appropriate. 

(1) Creating Dummy SSN. The computer system assigns 

a dummy SSN when the claimant does not supply a SSN 

(the first three characters will be "000"). The CCC 

tabs through the SSN field and enters the claimant’s 

last name, first name, and middle initial. The 

computer prompts "OK to create case file number." 

When the CCC enters "yes," the computer system then 

generates a dummy SSN. 

b. When the Case Does Not Exist In ECMS. If the 

employee’s SSN does not already exist in ECMS B or ECMS E 

(i.e., a new case that does not exist in ECMS at all) then 

the case is created by using the “Add Case” function under 

the “Function” option in ECMS and numbered using the 

employee’s nine digit SSN or a nine digit dummy SSN. 

c. When the Case Already Exists in ECMS. If the 

employee’s SSN already exists in ECMS B only, a new claim 

is added to ECMS E through the “Open Case” function under 

the “File” option. Conversely, if the employee’s SSN 

already exists in ECMS E only, a new claim is added to ECMS 

B through the “Open Case” function under the “File” option. 

5. Creating Cases in Energy Case Management System (ECMS). 

(Continued) 

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The “Add Case” function under the “Function” option in ECMS 

is not used for this purpose. 

d. Shared Data. For the most part, ECMS B and ECMS E 

function the same way and allow for independent data entry 

into either system. Most information on the first ECMS 

screen (“Case Update” screen) is shared between ECMS B and 

ECMS E. Except for the “Claims” section at the bottom of 

the screen, information in the “Case Update” screen 

automatically transfers between the two systems without 

having to enter duplicate data into ECMS B and ECMS E. 

The CCC enters information into the following shared 

fields/sections in ECMS: 

(1) CE 

(2) CE Assign Dt 

(3) Dist Office 

(4) Location 

(5) Location Assign Dt 

(6) Employee Name and Address 

(7) Employee Census Information 

(8) Employee Dependents 

(9) Employment Classifications 

(10) Work Sites 

Phone messages and call-ups are also shared between ECMS B 

and ECMS E, but are not entered during case creation. 

e. ECMS Entry. For case creation, the following ECMS 

data entry rules apply: 

(1) Worksite information is shared between ECMS B and 

ECMS E and can be viewed from either system. The CCC 

enters the worksite information in the “Case Update” 

screen in either ECMS B or ECMS E. In each line item 

of the “Work Site” section, the first column (“Pt 

Source”) indicates “B” or “E”. If a “B” is shown, the 

employment information was entered in ECMS B and is 

automatically shared with ECMS E. Conversely, if an 

“E” is shown, the employment information was entered 

in ECMS E and is automatically shared with ECMS B. 

5. Creating Cases in Energy Case Management System (ECMS). 

(Continued) 

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Since the employment is developed simultaneously for 

the Part B and Part E portions of the claim, the point 

of entry is from either system. However, if a DEEOIC 

employee wants to update employment information, it is 

only done in the ECMS Part identified in the “Pt 

Source” column; 

(a) For Part B only cases, all worksite 

information (claimed/verified/non-verified) is 

entered directly into ECMS B. If the worksite is 

not specifically identified in the ECMS “Worksite 

Desc Search” table field, the information is 

listed in the “Note” field. 

(i) The only exception is for RECA claims, 

where worksite data does not need to be 

entered into ECMS B. The reason for this is 

that the worksite data is adjudicated by the 

Department of Justice, as determined under 

RECA section 5. 

(b) For Part E only cases, including RECA cases, 

all worksite information (claimed/verified/nonverified) is entered directly into ECMS E. If 

the worksite is not specifically identified in 

the ECMS “Worksite Desc Search” table field, the 

information is listed in the “Note” field. If 

multiple mines/mills are listed in the Form EE-3, 

they are entered in the “Note” field. 

(2) The file date is the earliest of either the 

postmark date on the envelope, the facsimile date on 

the transmittance (fax), or the received date stamp 

date from any RC or DEEOIC Office on the signed claim 

form or document containing “words of claim” (but not 

earlier than July 31, 2001 for Part B and not earlier 

than October 30, 2000 for Part E). The postmarked 

envelope is kept with the claim form and filed down on 

the spindle in the case file. The CCC enters the 

earliest discernable date as the claim’s file date in 

the “Filed Dt” field, under the “Claim Information” 

5. Creating Cases in Energy Case Management System (ECMS). 

(Continued) 

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section, in the “Claim Update” screen of the 

applicable ECMS system(s); 

(a) For a claim form transmitted electronically 

(e-mail), the file date is the date the claimant 

electronically sent the claim form to the DEEOICForm Receipt Mailbox (i.e, the date on the sent 

line of the claimant’s e-mail). This is the same 

date that the e-mail is received in the DEEOICForm Receipt Mailbox. 

(3) The received date is the date in which any DEEOIC 

Office (DO, CE2 Unit, Final Adjudication Branch (FAB), 

or NO) receives a claim form or document containing 

“words of claim,” as identified by the DEEOIC Office’s 

received date stamp date. The CCC enters the earliest 

discernable date as the claim’s received date in the 

“Rcvd Dt” field, under the “Claim Information”

section, in the “Claim Update” screen of the 

applicable ECMS system(s); 

(a) When a claim is received electronically, the 

date on the sent line of the claimant’s e-mail is 

the received date. The DEEOIC Office does not 

use the date in which the POC received the e-mail 

from BOTA. The file date and received date of 

the electronically submitted claim form are the 

same. 

(4) The signature date is the date in which the 

claimant, claimant’s authorized representative, or a 

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

relative, guardian) signs the Forms EE-1, EE-2, or 

document containing “words of claim.” The CCC enters 

this date as the claim’s signature date in the 

“Signature Dt” field, under the “Claim Information”

section, in the “Claim Update” screen of the 

applicable ECMS system(s); 

5. Creating Cases in Energy Case Management System (ECMS). 

(Continued) 

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(5) The medical conditions are entered under the 

“Medical Conditions” section in the “Claim Update”

screen of the applicable ECMS system(s), as identified 

in the completed Case Create Worksheet; and 

(6) The CCC also enters data under the “Other Claim 

Factors” and the “SECs” sections (both containing drop 

down menus) in the “Claim Update” screen of the 

applicable ECMS system(s), as identified on the Form 

EE-1 or EE-2. In addition, the CCC enters data under 

the “Payees” section in the “Payee Update” screen of 

the applicable ECMS system(s), as identified on the 

Form EE-1 or EE-2. 

f. Multiple Claimants. There are cases which contain 

multiple claimants, where one claimant files for a medical 

condition that is approved under Parts B and E (e.g., 

stomach cancer) and the other claimant files for a medical 

condition that is approved under Part E (e.g., asbestosis). 

As long as eligibility has been established and there is an 

approved condition, a new claim is created in the other 

ECMS system for each eligible claimant, as appropriate, 

even when the claimant did not file a claim under that 

Part. As long as there is an open (active) claim for that 

claimant, there is no need to request an additional claim 

for the approved condition, which was already claimed by 

another claimant in that same case. 

g. Case Create Worksheet. Once the case is created in 

ECMS, the CCC prints and signs his or her name (“Case 

Creator”) and dates the worksheet, and then attaches it to 

the front of the case jacket. 

h. After Case Creation. When a batch of cases has been 

created, the CCC notates on the front of each case file 

jacket the location for it to be sent within the DEEOIC 

Office and also enters the appropriate assigned CE and the 

Case Location Code under the “Case Information” section in 

the “Case Update” screen of ECMS (See EEOICPA PM 1-0400 and 

1-0500 Exhibit 2). The CCC then forwards the cases to a 

5. Creating Cases in Energy Case Management System (ECMS). 

(Continued) 

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Workers’ Compensation Assistant/Customer Service 

Representative to send an acknowledgement letter to the 

claimant (See Exhibit 2). 

6. Duplicate Cases. The automated system checks for duplicate 

cases. Sometimes, duplicate cases are created when an incorrect 

SSN is used. If this happens, the DD, ADD, Chief of Operations, 

or the CE2 Unit Supervisory CE is responsible for ensuring that 

both case files are merged appropriately and that all the ECMS 

coding in the case record to be deleted is entered in the 

correct case record prior to deletion. The DD, ADD, Chief of 

Operations, or the CE2 Unit Supervisory CE must obtain 

authorization from NO to delete the duplicate case record from 

ECMS. The DD, ADD, Chief of Operations, or the CE2 Unit 

Supervisory CE prepares a memorandum to the Branch Chief of the 

Automated Data Processing Systems and the Branch Chief of 

Policy, requesting the authority to merge/resolve the two cases 

in ECMS and that the payment records for compensation and 

medical bills be reconciled. 

When there is a duplicate case, the case deleted is usually the 

one with the most recent “Rcvd Dt” in ECMS. However, if all 

compensation and bill payments were made in the later case, then 

the earlier case is deleted. All the documents from both case 

files are retained to show the date of first filing and the 

adjudicatory actions taken thereafter. The following steps are 

taken after the duplicate record is deleted from the automated 

system: 

a. Notation on Case Jacket. The M&F Clerk writes 

"Duplicate of 000-00-0000" (the file number of the other 

case) on the outside of the duplicate case file jacket; 

b. Forms. In the upper right corner, the M&F Clerk renumbers all documents with the file number of the case that 

is retained. These documents are then combined with the 

retained case file; and 

6. Duplicate Cases. (Continued) 

c. Advising the Claimant. The assigned CE or CE2 advises 

the claimant by letter that the duplicate case was created 

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in error and that only the file number of the retained case 

is to be used. However, if the claimant was never notified 

of the duplicate number, there is no need to send the 

letter. 

7. Claims Examiner Review. Upon receipt of a new case, but 

prior to initial development and adjudication, the assigned CE 

or CE2 reviews the claim forms, any attached employment and/or 

medical evidence assembled at the RC, the employment 

verification and occupational history development conducted by 

the RC, the Case Create Worksheet, and ECMS to ensure the claim 

was entered in the correct ECMS system(s) and that the claim 

information was entered correctly. After this review is 

complete, the assigned CE or CE2 attaches the Case Create 

Worksheet to the inside cover on the left side of the case 

jacket, and files down all associated claim file documents on 

the spindle in chronological order in the case file. 

a. Claim Entry into ECMS. The assigned CE or CE2 must 

ensure that the claim is entered in the correct ECMS 

system(s). If a claim is created in the wrong ECMS system, 

certain steps are followed to delete the incorrect entry 

(See paragraph 12 below). If a claim was not created in 

one of the ECMS systems but needs to be, the assigned CE or 

CE2 returns the claim to the CCC for case creation (See 

paragraph 5 above). 

b. Verification of Claimant/Employee Information. The 

assigned CE or CE2 confirms that the claimant/employee 

information is correct in ECMS. The assigned CE or CE2 

checks the last name, first name, and middle initial of the 

employee/claimant in ECMS for accuracy. The full middle 

name does not appear in ECMS unless the claim form is 

signed with the complete middle name. The assigned CE or 

CE2 checks the gender, date of birth, and date of death 

(when applicable) in ECMS for accuracy. The address and 

phone number of the claimant/employee are also checked for 

accuracy. 

7. Claims Examiner Review. (Continued) 

c. Medical Conditions. The assigned CE or CE2 must 

ensure that the medical conditions are entered in the 

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correct ECMS system(s). If a medical condition is 

incorrectly entered, or not entered at all, the assigned CE 

or CE2 updates the medical information in the correct ECMS 

system(s). 

d. Initial Handling Conducted by the RC. The assigned CE 

or CE2 reviews the employment verification and occupational 

history development materials provided by the RC. The 

assigned CE or CE2 enters the claim status codes under the 

“Claim Status History” section in the “Claim Update” screen 

of ECMS, for each claimant, as appropriate, to reflect the 

actions taken by the RC. 

(1) The assigned CE or CE2 enters the “OR – ORISE 

Employment Evidence Received”, "ES – Employment 

Verification Sent to DOE”, and/or "CS – Request for 

Corporate Verification" claim status code(s), as 

appropriate. The “Claim Status Dt” is the date in 

which the action was taken by the RC, as identified in 

their memorandum to the DO or CE2 Unit. 

If the assigned CE or CE2 enters an “ES,” he or she 

also enters the appropriate reason code from the dropdown menu. The drop down reason code indicates the 

specific DOE Operations Center the Form EE-5 was sent 

to (e.g., “AL5 – Albuquerque Operations Office (EE5)”). 

(2) If the employee’s OHQ has been completed, the 

assigned CE or CE2 enters the "DO – DevelopmentOther" claim status code and selects the reason code 

"OH - Occupational History." The “Claim Status Dt” 

for the “DO/OH” code is the date the occupational 

history interview was completed, as reported in the RC 

memorandum to the DO or CE2 Unit. 

(a) If a deficiency is identified or an 

additional interview is deemed necessary, the DO 

or CE2 Unit returns part of the package back to 

the RC. The assigned CE or CE2 does not enter 

7. Claims Examiner Review. (Continued) 

the “DO/OH” code in ECMS because the OHQ is not 

yet complete. Instead, the assigned CE or CE2 

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enters the “RC – Resource Center” code and the 

drop down reason code “RK - Rework” or ”FW - 

Follow-up”, respectively, as appropriate. The 

“Claim Status Dt” is the date of the memorandum 

from the DO or CE2 Unit to the RC outlining the 

rework or follow-up task, as appropriate. 

(b) Upon return from the RC, the assigned CE or 

CE2 enters the “DO/OH” code in ECMS to correspond 

with the date on which the rework or follow-up 

occupational history development action occurred, 

as reported in another RC memorandum to the DO or 

CE2 Unit. 

(3) If the claim requires additional follow up action 

by the RC or development by the assigned CE or CE2, 

the assigned CE or CE2 enters a call up in ECMS notes, 

as a reminder. The assigned CE or CE2 reviews the 

initial submission (and all subsequent submissions 

from the RC) and assigns additional tasks to the RC as 

necessary. 

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

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

diagnosed condition, RECA information), the assigned CE or 

CE2 requests the omitted information from the claimant. 

The assigned CE or CE2 lists the information that is 

required and explains the reason the request is being made. 

8. Claims for New Medical Conditions or New Survivors Before a 

Recommended Decision. When a claimant submits a claim form for 

an additional covered occupational illness under Part B or a 

covered illness under Part E prior to the issuance of a 

Recommended Decision, the new filed claim is recorded in ECMS by 

updating the “Medical Conditions” section in the “Claim Update”

screen. When an additional survivor submits a claim for 

survivor benefits under Parts B and/or E prior to the issuance 

of a Recommended Decision, the new filed claim is created in 

ECMS and reviewed, as discussed in paragraphs 4, 5, and 7 above. 

8. Claims for New Medical Conditions or New Survivors Before a 

Recommended Decision. (Continued) 

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a. Medical Evidence Only. If the claimant submits 

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

evidence indicating the presence of a covered occupational 

illness or covered illness) without a claim form or 

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

then the DO or CE2 Unit contacts the claimant by telephone 

to explain the situation and sends a letter (with an 

attached claim form) asking the claimant to submit a new 

claim form. 

(1) The DO or CE2 Unit only requests a new claim form 

and develops the evidence further, if it is apparent 

that eligibility is likely. 

(2) The letter addresses the receipt of the new 

evidence and explains the need for a Form EE-1 or EE-2 

to establish a new claim. A claim form is not 

requested, however, when it is unlikely that the new 

medical evidence establishes a covered medical 

condition (e.g., evidence of a recurrence of a 

previously reported cancer or evidence of a noiseinduced hearing loss). 

b. Medical Evidence and “Words of Claim”. A new claim 

form is not required if the claimant provides medical 

evidence of a new condition along with a signed written 

statement that he or she wants the medical condition to be 

considered (or other “words of claim”). The assigned CE or 

CE2 develops and adjudicates the new claimed condition 

accordingly. 

c. Survivorship Evidence Only. If a new survivor 

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

marriage certificate, school records) without a claim form, 

then the DO or CE2 Unit contacts the claimant by telephone 

to explain the situation and sends a letter (with an 

attached claim form) asking the claimant to submit a claim 

form. 

8. Claims for New Medical Conditions or New Survivors Before a 

Recommended Decision. (Continued) 

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(1) The DO or CE2 Unit only requests a claim form and 

develops the evidence further if it is apparent that 

eligibility is likely. 

(2) The letter addresses the receipt of the new 

evidence and explains the need for a Form EE-2 to 

establish a new claim. 

9. New Claims Received in the DO During Case Review by FAB or 

NO. There are instances when an already created case file is 

under review with FAB (e.g., a review of the Recommended 

Decision) or NO (e.g., Reopening Request, policy question), and 

a claimant files a new medical condition or a new survivor files 

a claim. The DO date-stamps the claim form(s) and any attached 

documentation upon receipt into their office. 

a. Case Review by FAB. Sometimes instead of the claim 

form(s) being sent to the FAB (or CE2 Unit), it is 

inadvertently sent to the DO who issued the Recommended 

Decision. In order to promote efficiency, the DO’s M&F 

Clerk sends an e-mail, with an attached scanned/imaged copy 

of the claim form(s) and any received documents, to the 

designated CE2 in the appropriate local FAB or to the NO 

CE2 Unit Supervisory CE, if the case is at the NO FAB. 

The request advises the CE2 that the attached new claim is 

being forwarded for case creation and appropriate 

development. In the body (not the subject line) of the 

e-mail, the M&F Clerk lists the employee’s name, the 

claimant’s name (if different from the employee’s name), 

file number, the assigned FAB Representative, and the 

received date of the new claim. The DD, FAB Branch Chief, 

and Chief of Operations are also included in a carbon copy 

of the e-mail. This is followed up with the DO mailing (or 

hand delivering if located in the same building) the 

original claim form(s) and attached documents to the CE2. 

(1) Once the CE2 receives the e-mail from the M&F 

Clerk, the CE2 prints the attachments, date-stamps the 

documents, and advises the assigned FAB Representative 

to assign the case to him or her in ECMS. 

9. New Claims Received in the DO During Case Review by FAB or 

NO. (Continued) 

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(2) The FAB Representative assigns the case to the 

appropriate CE2 through the “Open Case” function under 

the “File” option in ECMS. The FAB Representative 

then selects the appropriate CE2 in the drop down menu 

of the “CE2” field under the “FAB Co-located 

Development” section in the “Case Update” screen of 

ECMS. Once the FAB Representative selects the 

appropriate CE2, he or she tabs over to the “CE Assign 

Dt” field, which automatically populates with the 

current date and time (this field can be manually 

inputted if needed). 

In addition, the FAB Representative keys the case file 

to the appropriate CE2 by entering the appropriate 

ECMS Case Location Code in the “Location” field (See 

EEOICPA PM 1-0500 Exhibit 2), tabs over to the 

“Location Assign Dt” field, which automatically 

populates with the current date and time (this field 

can be manually inputted if needed), and then clicks 

on the “Save” button. The FAB Representative then 

advises the CE2 that the case has been assigned to him 

or her in ECMS. 

Both the FAB Representative and the CE2 are able to 

make entries into ECMS without having to transfer the 

case back and forth in the system. 

(3) For a new claimed medical condition, the CE2 

enters the medical condition in the appropriate ECMS 

system(s), as discussed in paragraphs 4 and 5 above. 

(4) For a claim filed by a new survivor, the 

designated employee within the CE2 Unit completes the 

Case Create Worksheet (as described in paragraph 4 

above) and forwards it, along with the claim form and 

any attached documentation, to the CCC to create the 

case in ECMS (See paragraph 5 above). 

(5) Once the CCC creates the case in ECMS, the claim 

documentation is returned to the CE2 who then reviews 

that information, in addition to the evidence in the 

case file, and develops the claim as appropriate. 

9. New Claims Received in the DO During Case Review by FAB or 

NO. (Continued) 

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(6) Prior to the FAB transferring a case out of their 

office that the CE2 is assigned to in ECMS, the FAB 

Representative or the M&F Clerk clicks on the 

“Unassign CE2” button in the “Case Update” screen. 

b. Case Review by NO. When the DO receives a new claim 

on a case that is under review by the NO (e.g., Reopening 

Request, policy question), the M&F Clerk must advise the DD 

who in turn contacts the Unit Chief for Policies, 

Regulations and Procedures in NO to determine how to 

effectively handle the incoming claim. This is determined 

on a case by case basis. 

10. Claims for New Medical Conditions After a Final Decision. 

A claim form is required when a Final Decision has been issued 

and a claimant submits evidence of a new occupational illness 

under Part B or a covered illness under Part E. A claimed 

medical condition is new only if it was not previously addressed 

in a Final Decision. A new claim form is not needed for 

consequential conditions. However, a signed written request to 

claim a consequential condition is required. 

a. ECMS Entry. The newly filed claim is recorded by the 

assigned CE or CE2 with the entry of the claim status code 

“RD- Reopened - Development Resumed” under the “Claim 

Status History” section in the “Claim Update” screen of 

ECMS B, ECMS E, or both, as appropriate. The received date 

stamp, facsimile transmittance date (fax), or postmark date 

(whichever is the earliest discernable date) is entered as 

the “Claim Status Dt” in ECMS. 

b. No Claim Form Received. If the claimant only submits 

medical evidence for a new condition (e.g., medical 

evidence indicating the presence of an occupational illness 

or covered illness), then the DO or CE2 Unit sends a letter 

requesting that the claimant submit a new claim form. 

Before the letter is sent, the assigned CE or CE2 initiates 

a phone call with the claimant to explain the situation and 

determine the claimant’s intention to pursue a new claim. 

10. Claims for New Medical Conditions After a Final Decision. 

(Continued) 

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(1) The DO or CE2 Unit requests a new claim form and 

develops the evidence further, only if it appears that 

coverage is likely. 

(2) The letter addresses the receipt of the new 

evidence and explains the need for a Form EE-1 or EE-2 

to establish the new claim. If it is unlikely, 

however, that the new medical evidence establishes a 

new covered medical condition, a claim form is not 

requested. 

c. Words of Claim. If a claimant submits a new claim 

form for a new condition or a signed written statement that 

he or she wants the medical condition to be considered (or 

other “words of claim”), the assigned CE or CE2 develops 

and adjudicates the new claim, regardless of whether or not 

it is likely that the condition is covered under the 

EEOICPA. 

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

or her claim for benefits for any claimed condition(s), 

including wage loss 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(s) of the claim is to be 

withdrawn. The assigned CE or CE2 codes the withdrawal request 

appropriately under the “Claim Status History” section in the 

“Claim Update” screen of ECMS system(s), with the “Claim Status 

Dt” being the earliest discernable received date of the 

withdrawal request letter. 

12. Deleting a Claim from ECMS. If the assigned CE or CE2 

determines that a claim (for deleting a case, follow the 

instructions in paragraph 6) was created in the wrong ECMS 

system or needs to be added to an ECMS system, the claim is 

returned to case create. The assigned CE or CE2 writes a memo, 

in which his or her Supervisory CE reviews and signs, advising 

the Chief of Operations to delete or add a claim in a specific 

ECMS system. 

12. Deleting a Claim from ECMS. (Continued) 

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If a claim is added to an ECMS system, the memo provides the 

name of the claimant, the file number, the file date, the 

applicable ECMS system, and refers to the claim form for any 

additional information for the CCC to enter into ECMS. 

If a claim needs to be deleted in ECMS, the memo provides the 

name of the claimant, the file number, and the applicable ECMS 

system. 

The CCC initials and dates the memo once the claim has been 

deleted or added to an ECMS system. The memo is filed down on 

the spindle in chronological order within the case file and 

returned to the assigned CE or CE2. 

Example: If a claim is for Part E only (e.g., asbestosis), 

but was entered in ECMS B and E, the B claim needs to be 

deleted. The CCC deletes the claim information, not case 

information, in the incorrect version of ECMS.

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CASE CREATE WORKSHEET 

Check either # 1, #2 or # 3 and follow the instructions.

1. Create Claim in both ECMS(B) and ECMS(E). Check either (a) or (b) below:

(a) Enter ALL medical conditions claimed on the form (EE-1 or 2) in both ECMS (B) and (E)

(b) Enter medical conditions in ECMS (B) and (E) as specified below: 

Enter these conditions in ECMS - B Enter these conditions in ECMS- E

2. Create Claim in ECMS(B) only – Enter all claimed medical conditions only in ECMS(B) 

3. Create Claim in ECMS(E) only – Enter all claimed medical conditions only in ECMS(E) 

Reviewer:

Printed Name Signature Date

Case Creator:

Printed Name Signature Date

SSN: 

EEOICPA Tr. No. 09-02 Exhibit 1 

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________________________________________________________________

LETTER OF ACKNOWLEDGEMENT

Dear Mr./Ms. Claimant: 

I am writing concerning your claim under the Energy Employees Occupational Illness 

Compensation Program Act (EEOICPA). Your claim has been received in our office. 

We have entered your claim into our system and assigned it the above file number. You should 

refer to this number when calling our office and write it on the top right corner of any 

correspondence you submit to us. Your claim will be assigned to a Claims Examiner for review. 

If additional information is required, the Claims Examiner will request it through separate 

correspondence. 

Our Customer Service Representatives are available to answer any of your questions regarding 

the processing of your claim. You may also obtain information through your local resource 

center or by visiting our website at: http://www.dol.gov/esa/regs/compliance/owcp/eeoicp/main.htm

I assure you every effort is being made to process your claim in a timely manner. If you have 

any questions, please feel free to contact us, toll free, at (Number).

Sincerely,

Printed Name

Title

EEOICPA Tr. No. 09-02 Exhibit 2 

April 2009 

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TABLE OF CONTENTS

Paragraph and Subject Page Date Trans. No.

Chapter 1-0400 Case Maintenance

Table of Contents. . . . . . . i 04/09 09-02

 1 Purpose and Scope. . . . . . . 1 04/09 09-02

 2 Case Movement. . . . . . . . . 1 04/09 09-02

 3 Filing Cases . . . . . . . . . 2 04/09 09-02

 4 Dividing Cases . . . . . . . . 3 04/09 09-02

 5 Multiple Survivors . . . . . . 5 04/09 09-02

 6 Repairing Cases. . . . . . . . 5 04/09 09-02

 7 Reconstructing Cases . . . . . 5 04/09 09-02

 8 Updating, Correcting, and 

 Adjusting the ECMS Database. 7 04/09 09-02

9 FAB Docketing. . . . . . . . . 8 04/09 09-02

Exhibit

 1 ECMS Change Form . . . . . . . 04/09 09-02

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1. Purpose and Scope. This chapter describes how case files

are transferred between locations within the Division of Energy 

Employees Occupational Illness Compensation (DEEOIC), filed, and 

maintained (including dividing a file’s contents, repairing

damaged folders, and reconstructing lost case files). 

The chapter also describes how to update, correct, and adjust

the electronic files in the Energy Case Management System 

(ECMS). Finally, the chapter addresses how the Final 

Adjudication Branch (FAB) assigns docket numbers to case files 

referred for their consideration and issuance of a Final 

Decision or other order.

2. Case Movement. Each DEEOIC staff member is responsible for 

ensuring that cases are delivered to their appropriate 

locations. The new location code is notated on the front of the 

case file jacket and entered in the “Case Update” screen of ECMS 

before the file is moved.

a. Location Changes. As cases are moved to different 

locations within a DEEOIC Office, their location codes are 

changed in ECMS. Each location in a DEEOIC Office has its 

own location code, for example, “FIL” for the File Room,

“CCJ” for a specific Claims Examiner (CE), “FO1” for the 

Fiscal Officer, and “DMC” for the District Medical 

Consultant (See EEOICPA PM 1-0500 Exhibit 1). 

b. Notations on Case Jackets. When ECMS coding is 

completed, the DEEOIC staff member lists the new location 

code on the grid sheet on the front of each folder of the 

case file, dates each folder, and initials each folder. 

The DEEOIC staff member then hand carries the file to its 

next location or places the folder in the appropriate pickup area for routing to the next location.

c. Replacement Grid Sheets. When the jacket has been 

completely filled, it is copied and the copy is placed on 

the inside cover of the left side of the case file. A 

gummed grid sheet with spaces to enter new routing

locations is then placed on the front cover of the case 

file.

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3. Filing Cases. Open cases (i.e., those cases needing 

further action) and closed cases are housed either in the File 

Room or in other locations throughout the DEEOIC Office.

a. Method of Filing. Most case folders are kept in the 

file room on open shelves. 

(1) The 2x2 terminal digit system is used by the 

DEEOIC. The folders are grouped together and filed 

using the last four digits of the file number 

(hereafter referred to as “terminal digits”).

The files are first grouped together in numerical 

order by the last two terminal digits (from XX00 to 

XX99). The first two terminal digits of a file 

determine the order of files with the same final two 

digits (00XX to 99XX). For example, files with the 

terminal digits 0034, 0234, 1001, 1034, 1234, 2001, 

and 3489 are filed as follows:

Ending with 01: 1001, 2001

Ending with 34: 0034, 0234, 1034, 1234

Ending with 89: 3489

(2) The outside edge of each folder is labeled with 

the last four digits of the claimant’s file number

(terminal digits). Each digit has a distinct, 

brightly-colored background, allowing searchers to 

locate, retrieve and/or file the folders with greater 

ease and accuracy.

b. Cases Sent to the File Room. Case folders are not

returned to the File Room unless:

(1) The File Room is the last location notated on the 

case folder along with the date transferred and the 

initials of the DEEOIC staff member initiating the 

move;

(2) ECMS is accurately coded to show the File Room

(“FIL”) as the last location; and

(3) Any loose documents or mail are filed down on the 

spindle in the folder, unless notated with the phrase 

"drop file," the date the document was drop filed, and 

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3. Filing Cases. (Continued)

the initials of the DEEOIC staff member who had 

requested the mail to be drop filed. 

c. Cases Outside of the File Room. When case files are 

located at a DEEOIC staff member’s work station or some 

other location, they need to be organized so they can be 

quickly located. When files are separated into different 

piles for effective case management (e.g., under 

development, awaiting a Recommended Decision), the DEEOIC 

staff member arranges each pile of cases in 2x2 terminal 

digit file number order.

d. Misfiled Cases. If a case is coded “FIL” in ECMS, but 

is not located in the File Room, a special search is 

required. This special search includes searching 

throughout the File Room (sometimes cases get misfiled on 

the shelves), on DEEOIC staff members’ workstations, the 

DEEOIC Office as a whole, and even other DEEOIC Offices. 

If the special search is unsuccessful, then DEEOIC staff 

must reconstruct the file (See paragraph 7 below).

4. Dividing Cases. When the contents of a case file become 

too thick to be contained in one folder, they are divided. Mail 

and File (M&F) staff divide files on their own when deemed 

appropriate, or at the request of a DEEOIC staff member. The 

M&F Clerk takes the following actions when dividing a case file:

a. Prepare a New Folder.

(1) The M&F Clerk makes a duplicate folder with the 

same file number (See EEOICPA PM 1-0300 paragraph 3). 

The M&F Clerk writes the letter “A” at the bottom of

the front cover of the original case file. The M&F 

Clerk then writes the letter "B" at the bottom of the 

front cover of the overflow folder. 

(2) On the bottom of the front cover of each folder,

the M&F Clerk writes "This case is divided into A and 

B parts"; and

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4. Dividing Cases. (Continued)

b. Dividing the File. The M&F Clerk divides the contents 

of the file at a logical point, considering the size of 

each part and the content and receipt date of the 

documentation.

(1) The M&F Clerk skims through the case file records

and determines a cutoff date for the Part A folder.

(2) The M&F Clerk places all correspondence and other 

documents received before the cutoff date in the Part 

A folder. All correspondence and documents received 

after the cutoff date are placed in the Part B folder. 

The M&F clerk files down Forms EE-1/2, EE-3, and 

copies of claim forms under Part E (formerly Part D) 

on the spindle in the Part B folder. Documents 

regarding any actions still pending and documents

showing compensation paid are also kept in the Part B 

(active) folder. 

(3) If it becomes necessary to divide the case more 

than once, the new overflow folders are labeled "AA", 

"AAA", etc.

(4) Part B is always the active folder and contains

the most recent documents, the original Forms EE-1/2,

Department of Energy (DOE) claim forms (formerly Part 

D), documents containing words of claim for benefits 

under the EEOICPA, Employment History Form EE-3, any 

documentation showing compensation paid, and all 

documents requiring further action.

(5) When voluminous records are received from a 

single source (e.g., hospital records, prior Part D 

records, responses to Document Acquisition Requests) 

resulting in the case to be divided, they are filed 

down on a separate spindle, as long as the records are 

clearly identified as belonging to a single 

identifiable source.

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5. Multiple Survivors. When the case file has multiple 

survivors, the Form EE-2 for the first survivor is on the 

bottom. The Form EE-2 for the second survivor is just above the 

first, and so forth, as reflected in ECMS under the “Claims”

section in the “Case Update” screen. The correspondence, 

medical evidence, employment evidence, and other documents are 

placed on top of the claim and employment history forms (on the 

spindle), in chronological order of date received in the case 

file and are not divided by survivor. 

6. Repairing Cases. The M&F Clerk or other DEEOIC staff 

member designated by the District Director (DD), FAB Manager, or 

Policy Branch Chief, repairs the case folders and their contents 

that have become worn or unreadable due to wear and tear. 

a. Loose Documents. The M&F Clerk or other designated 

DEEOIC staff member repairs or strengthens documents that 

have torn loose from the spindle by using a gummed or selfadhesive reinforcement, transparent tape, or other method 

approved by the DD, FAB Manager, or Policy Branch Chief. 

b. Damaged Documents. If torn or damaged documents 

cannot be mended, and there is the potential for further 

damage to occur, the M&F Clerk or other designated DEEOIC

staff member photocopies the documents so that the file 

contains a readable copy. To protect from further damage, 

the torn or damaged documents are placed in a protective 

sleeve or envelope and placed in the case file.

7. Reconstructing Cases. When a case is lost and every effort 

to locate it within that DEEOIC Office and the other DEEOIC 

Offices is unsuccessful, the DEEOIC staff must reconstruct the 

case file. A Supervisory CE or Manager prepares a memorandum

for the signature of the DD, FAB Branch Chief, or Policy Branch 

Chief, explaining the loss of the file and the necessary 

preparation of a new case jacket. The assigned CE, Secondary 

Claims Examiner (CE2), FAB Representative, or National Office

(NO) Representative then requests duplicates of all documents in 

the lost file. 

a. Memorandum and New Case Jacket. The Supervisory CE or 

Manager prepares and signs a memorandum describing the 

effort(s) taken to locate the original file and that a 

duplicate case jacket is necessary. Once approved and 

signed by the DD, FAB Branch Chief, or Policy Branch Chief, 

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7. Reconstructing Cases. (Continued)

the memo is then forwarded to the Case Create Clerk, who 

creates a new case jacket (See EEOICPA PM 1-0300 paragraph 

3) with the memo placed inside and returns it to the 

assigned CE, CE2, FAB Representative, or NO Representative.

b. Requests for Records. The assigned CE, CE2, FAB 

Representative, or NO Representative prepares 

correspondence to all the claimants and authorized 

representatives associated with the case requesting a copy 

of any documents pertinent to the case file. The assigned

CE, CE2, FAB Representative, or NO Representative also 

requests duplicate documents from medical providers, the 

National Institute for Occupational Safety and Health 

(NIOSH), DOE, and any other identifiable source (e.g., 

Center to Protect Workers’ Rights (CPWR), Social Security 

Administration (SSA), Resource Center (RC)). The memo and 

the letters requesting the documentation are filed down on 

the spindle in the new case folder. 

c. Electronic Records. If electronic copies of documents

(e.g., development letters, Recommended Decisions, Final 

Decisions) or claim related e-mails from external customers 

(e.g., the claimant, RC, DOE, corporate verifiers, 

Congressional Offices, NIOSH), that were in the case file

have been maintained by the assigned CE, CE2, FAB

Representative, or NO Representative, they are to be copied 

and placed in chronological order in the file by when they

were originally created.

d. Recovery of Original File. If the lost case file is 

found, the assigned CE, CE2, FAB Representative, or NO 

Representative incorporates all original and unduplicated 

material into a single case jacket and discards the 

duplicate case information and case file jacket in a 

recycle bin for shredding.

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8. Updating, Correcting, and Adjusting the ECMS Database. 

Changes to ECMS are sometimes needed due to errors in data entry 

or updated changes to the claimant's address, etc.

a. Corrections to Data Elements. It is each DEEOIC staff 

member’s responsibility to safeguard the integrity of the 

data in ECMS. Stakeholders and interested parties (e.g., 

DEEOIC Offices, Congressional Offices, the Ombudsman 

Office) are provided with performance reports compiled from 

ECMS data. Therefore it is especially important to ensure 

that the data entered in ECMS is correct and up to date. 

These elements include all name fields, claimed illness

information, claimed employment data, date of birth, date 

of death, and SSN.

b. Change of Address. All requests for change of address 

are submitted in writing by the claimant, authorized 

representative, or approved Power of Attorney. All such 

changes are referred to the individual designated as the

Payee Change Assistant (PCA). The PCA (or a designee who 

does not have the authority to enter payments in ECMS) 

makes changes to names and addresses in ECMS. Any change 

of address needs to be approved by the assigned CE, CE2, 

FAB Representative, or NO Representative prior to any 

changes in ECMS. Attached, as Exhibit 1, is the form used 

to document changes of name, address, and/or telephone 

number by all DEEOIC Offices.

(1) The request for a new address must contain an 

acceptable signature on the document. The claimant’s 

signature, an authorized representative’s signature,

or the approved Power of Attorney’s signature is 

acceptable.

(2) If a written document contains a claimant’s new 

address, the assigned DEEOIC staff member calls and 

confirms with the claimant, authorized representative, 

or the approved Power of Attorney whether the change

is temporary or permanent. The call is then 

documented in the ECMS Telephone Management System 

(TMS), with a printed copy placed in the case file.

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8. Updating, Correcting, and Adjusting the ECMS Database. 

(Continued)

(3) A faxed request to change a claimant’s address or 

phone number is acceptable, as long as it contains the 

signature of the claimant, authorized representative, 

or the approved Power of Attorney requesting the 

change. 

(4) For payment purposes only, a “Payment Only” 

address is documented and signed by the claimant or 

approved Power of Attorney on the original EN-20 form. 

Faxes are not acceptable. 

9. FAB Docketing. A unique docket number is assigned under 

Part B and Part E, as applicable, to each claimant involved in 

the FAB review process. The assignment of a docket number 

allows FAB to track individual claimants who filed under Part B 

and/or Part E and to protect their privacy.

a. Docket Number Assignment. Any case that is forwarded 

to FAB for issuance of a Final Decision or other order has

a docket number assigned to each claimant identified in the 

Recommended Decision under Parts B and E of the Act, as 

applicable. The docket number(s) assigned is generated 

randomly by ECMS within each local FAB Office. The docket 

number is a numerical prefix followed by the year in which

the docket number is assigned. Once a docket number is

assigned to a claimant (a separate docket number for Part B 

and Part E, as applicable), that document number remains 

the same, is always used to identify the claimant in future 

Final Decisions or other orders, and does not change.

b. Registering Docket Numbers in ECMS. Upon receipt of a 

Recommended Decision, a FAB Representative enters “FD – FAB

Received Recommended Decision” under the “Claim Status 

History” section in the “Claim Update” screen of ECMS. An 

“FD” status code is entered for each claimant in ECMS who 

receives a Recommended Decision. The entry of the “FD”

status code in ECMS is what generates the random assignment 

of the docket number.

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9. FAB Docketing. (Continued)

c. Duplicate Numbers. The individual entering the docket 

number must ensure that he or she does not re-enter a new 

docket number for a claimant who has already been assigned 

a docket number under that Part of the Act. If this 

occurs, the file is referred to the local FAB Manager to 

have the second docket number removed from ECMS.

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ECMS CHANGE FORM 

Reason for Change

File Number and

Claimant/Payee Code:

ECMS Correction Employee Name Updated Change

Type of Change (check all that apply)

Change the following Route to Location

Name PCA

Address PCA

New EE2 not in ECMS Case Create

EM/CLMT Social Security Number Chief of Operations

Delete Case/Claim (Duplicate) Chief of Operations

Other (specify) _______________

Document(s) Used for Change

EE1

EE2

EE3

Claimant’s Written/Signed Request

Other (specify) _______________

Change Needed (only complete applicable fields)

Name & Payee Type Code

(EM, WI, C1, etc.)

Address:

EM/CLMT Social Security 

Number

Other:

Signatures Print Name Signature Date LOC Code

1. Completed By

2. Approved By

 (Sr.CE/Manager Only)

3. ECMS Changed By

4. Verified By

EEOICPA Tr. No. 9-02 Exhibit 1

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FEDERAL (EEOICPA) PROCEDURE MANUAL Chapter 1-0500

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_____________________________________________________________________________________________

TABLE OF CONTENTS

Paragraph and Subject Page Date Trans. No.

Chapter 1-0500 Transfers and Loans

Table of Contents. . . . . . . i 04/09 09-02

 1 Purpose and Scope. . . . . . . 1 04/09 09-02

 2 Responsibilities . . . . . . . 1 04/09 09-02

 3 Electronic Transfer of Case

 Records in ECMS. . . . . . . 1 04/09 09-02

 4 Temporary Transfers (Loans). . 2 04/09 09-02

 5 Permanent Transfers . . . . . 9 04/09 09-02

 6 Referring Case Records

 to NIOSH . . . . . . . . . . 12 04/09 09-02

 7 Referring Cases to Medical or

 Scientific Specialists in NO 13 04/09 09-02

Exhibits

 

 1 ECMS Case Location Codes . . . 04/09 09-02

 2 DEEOIC Case Transfer Sheet . . 04/09 09-02

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1. Purpose and Scope. This chapter describes the procedures

for sending physical case files and electronic case records

between the various offices within the Division of Energy 

Employees Occupational Illness Compensation (DEEOIC), including 

the District Office (DO), the Secondary Claims Examiner (CE2)

Unit, the Final Adjudication Branch (FAB), and the National 

Office (NO). It also describes the procedures for sending the 

contents of a case file to the National Institute for 

Occupational Safety and Health (NIOSH) and to a medical or 

scientific specialist in NO.

2. Responsibilities. Mail and File (M&F) staff process all 

physical case files transferred temporarily or permanently among 

the DEEOIC Offices. The Chief of Operations, Supervisory CE, 

Assistant District Director (ADD), District Director (DD), FAB 

Manager, NO Representative, M&F Clerk, or designee transfers 

electronic records in the Energy Case Management System (ECMS)

and notates the front of the case file jacket, accordingly, on 

all case files transferred temporarily or permanently.

3. Electronic Transfer of Case Records in ECMS. The 

electronic transfer of a case record in ECMS involves taking the 

following actions in the “Case Update” screen: enter the 

appropriate DEEOIC Office’s transferred out location code in the 

“Location” field (See Exhibit 1); click the “Save” button; 

click on the “Transfer Case” button; pick the appropriate 

DEEOIC Office in the “District Office” drop down menu field 

under the “Transfer To” section; and then click on the 

“Transfer Case” button.

The electronic transfer of a case record in ECMS can be done in 

either ECMS system (ECMS B or ECMS E), and results in the 

transfer of the case record in both ECMS systems simultaneously.

a. Electronic Transfer to a CE2 Unit. The local CE2 Unit 

and the NO CE2 Unit are not listed in the “District Office”

drop down menu field under the “Transfer To” section of 

ECMS. Instead, the designee must transfer the electronic 

case record to the appropriate FAB Office in which the CE2 

Unit resides with. 

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3. Electronic Transfer of Case Records in ECMS. (Continued)

(1) Once electronically transferred to the 

appropriate FAB Office, a FAB Representative selects 

the appropriate CE2 in the drop down menu of the “CE2”

field under the “FAB Co-located Development” section 

in the “Case Update” screen of ECMS. Once the FAB

Representative selects the appropriate CE2, he or she 

tabs over to the “CE Assign Dt” field, which 

automatically populates with the current date and time 

(this field can be manually inputted if needed).

In addition, the FAB Representative keys the case file 

to the CE2 by entering the appropriate ECMS Case 

Location Code in the “Location” field (See Exhibit 1), 

tabs over to the “Location Assign Dt” field, which 

automatically populates with the current date and time 

(this field can be manually inputted if needed), and 

then clicks the “Save” button. 

Both the FAB Representative and the CE2 are able to 

make entries into ECMS without having to transfer the 

case in the system.

4. Temporary Transfers (Loans). Case files are temporarily 

transferred between DEEOIC Offices for a variety of reasons,

including the review of a Recommended Decision (RD), a Final 

Decision (FD), a remand order, a request for reconsideration, a 

request for reopening, a DO or CE2 Unit pending action, a 

medical or scientific referral, or for a policy issue. Whenever 

a case file is transferred, it is sent in its entirety to the 

designated location. It is of utmost importance that if a case 

is misrouted to a DEEOIC Office from another DEEOIC Office, that 

it be transferred immediately to the appropriate DEEOIC Office.

a. Procedures Before the Loan.

(1) The Claims Examiner (CE), CE2, FAB 

Representative, or NO Representative completes all 

applicable items listed on the case transfer sheet

(see Exhibit 2) and attaches it to the outside of the 

case jacket. This sheet identifies the case, the 

DEEOIC Office the case is transferred to and from, and 

the reason for the transfer. 

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4. Temporary Transfers (Loans). (Continued)

(2) If the CE, CE2, or NO Representative is 

transferring a case file, the following boxes in the 

Reason for DO’s/CE2 Unit’s/NO’s Transfer field is 

checked, as appropriate:

(a) To the FAB, select the option FAB Review and 

any of the following options below, as 

appropriate:

(i) For an RD, select the option

Recommended Decision; or

(ii) For a request for reconsideration, 

select the option Reconsideration.

(b) To and from the NO, select the option, 

Policy/Procedure and any of the following options 

below, as appropriate:

(i) For a request to reopen, select the 

option Reopen. For the return response to a 

reopening request, select the option Reopen

and briefly explain whether the reopening

was granted or denied in the Comments/Other

field;

(ii) For a submission of a remand challenge, 

select the option Remand Challenge. For the 

return response to a remand challenge, 

select the option Remand Challenge and 

briefly explain whether the remand challenge 

was granted or denied in the Comments/Other

field;

(iii) For a policy issue (e.g., 

stepchildren, incapable of self-support, 

employment verification), select the option 

Policy Question and briefly explain the 

request in the Comments/Other field. For 

the return response to a policy issue, 

select the option Policy Question and 

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4. Temporary Transfers (Loans). (Continued)

include a brief explanation in the 

Comments/Other field. This form does not 

replace the WS/WR form;

(iv) For a review by the Office of the 

Solicitor (e.g., power of attorney, filed 

court documentation), select the option 

Solicitor and include a brief explanation in 

the Comments/Other field. For the return 

response from the Solicitor, select the 

option Solicitor and include a brief 

explanation in the Comments/Other field; or

(v) For a medical or scientific review, 

including a referral to the Medical 

Director, Industrial Hygienist (IH), 

Toxicologist (TX), or the Health Physicist,

select the specific type of review, as 

appropriate. For the reviewer’s return 

response, select the type of review provided 

and include a brief explanation in the 

Comments/Other field, as appropriate.

(3) If the FAB Representative is transferring a case 

file, the following boxes in the Reason for FAB’s 

Transfer field is checked, as appropriate:

(a) To the DO or CE2 Unit, in which the FAB 

vacates the RD and issues a remand order, select 

the option Remand;

(b) To the DO or the CE2 Unit, in which the FAB 

reverses the RD, select the option Reversal;

(c) To the DO or CE2 Unit, in which the FAB 

affirms the RD, select the option Affirmation;

(d) To the NO, select any of the following 

below, as appropriate:

(i) For a request to reopen, select the 

option Reopen;

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4. Temporary Transfers (Loans). (Continued)

(ii) For a policy issue (e.g., stepchildren, 

incapable of self-support), select the 

option Policy Question and briefly explain 

the request in the Comments/Other field. 

This form does not replace the WS/WR form;

(iii) For a review by the Office of the 

Solicitor (e.g., filed court documentation), 

select the option Solicitor and include a 

brief explanation in the Comments/Other

field; or

(iv) For a medical or scientific review, 

including a referral to the Medical 

Director, Industrial Hygienist (IH),

Toxicologist (TX), or the Health Physicist, 

select the specific type of review, as 

appropriate.

(e) At the time of mailing the FD, the FAB 

Representative selects the option Send Copy of 

Final Decision to with either NIOSH, DOJ (RECA), 

and/or RC (with the specific RC name/location 

listed) marked, as appropriate.

(4) The CE, CE2, or FAB Representative checks the 

following boxes, as appropriate, when rendering an RD

or FD, respectively:

(a) The type of RD or FD submitted (Part B

and/or Part E); and 

(b) The status of the RD or FD under that 

Part(s) (Accept, Deny, and/or Defer)

The FAB Representative notates the ECMS Final Decision 

Coding under Part B and/or Part E and also the amount 

of any compensation approved (AOP Amount) under Part B

and/or Part E in that field.

For any issue not specified above, include a brief 

explanation in the Comments/Other field.

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4. Temporary Transfers (Loans). (Continued)

(5) The Chief of Operations, FAB Manager, NO Unit 

Chief for Policies, Regulations and Procedures, DD,

ADD, Supervisory CE, Senior Claims Examiner, or 

designee determines whether the case is in a posture 

for transfer to another DEEOIC Office (e.g., the DO 

issued an RD that needs to be sent to FAB for 

processing of the FD), and if so, then ensures that:

(a) Within reason, all pending actions have been 

taken and all correspondence answered;

(b) Mail is filed down on the spindle in order of 

date receipt; and

(c) The case file jacket is in good condition.

(6) The initiator and the authorizing signatory both 

sign and date the completed case transfer sheet

(sometimes this is the same person). The NO Unit 

Chief for Policies, Regulations and Procedures, DD,

and FAB Manager designate the authorizing signatory

within their respective office.

All cases sent to the NO require the authorization of 

the DD, ADD, Supervisory CE, FAB Manager, or designee. 

The NO Unit Chief for Policies, Regulations and 

Procedures or designee authorizes case transfers from 

the NO.

(7) The Chief of Operations, FAB Manager, NO Unit 

Chief for Policies, Regulations and Procedures, DD, 

ADD, Supervisory CE, M&F Clerk, or designee changes 

the location on the front of the case file jacket and 

in ECMS to reflect the physical and electronic 

transfer of the case to another DEEOIC Office (See 

paragraph 3 above). 

The location of individual case files is tracked in 

ECMS through specific codes. ECMS Case Location Codes 

are identified in Exhibit 1.

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4. Temporary Transfers (Loans). (Continued)

Maintaining accurate case location information in ECMS 

is essential. Each time a file is physically 

transferred from one location to another within a 

DEEOIC Office or from one DEEOIC Office to another, 

ECMS must be updated to show the current location of 

the case file and the date in which the change in 

location was made. This is also notated on the front 

of the case file jacket.

(8) M&F staff mail the case file, either by the 

designated express mail service or through the United 

States Postal Service (USPS). 

b. Procedures After the Loan.

(1) Upon receipt of the transferred case, the 

receiving office files the case transfer sheet down 

onto the spindle in the case file and takes the action 

reflected on the case transfer sheet.

 

(2) The receipt of individual case files is tracked 

in ECMS through specific codes. When a physical case 

file arrives in the DEEOIC Office, M&F staff datestamp the case transfer sheet and deliver the case to 

the M&F Clerk who enters the appropriate 

receiving/transferring in office and location codes in 

the “Dist Office” and “Location” fields, respectively, 

in the “Case Update” screen of ECMS (See Exhibit 1). 

The M&F Clerk also assigns the case in the “CE” field

(See Exhibit 1). The dates of the change in location 

and CE assignment are recorded in ECMS by tabbing over 

to the “Location Assign Dt” and “CE Assign Dt” fields, 

respectively, which automatically populates with the 

current date and time (these fields can be manually 

inputted if needed). The location codes are also 

notated on the front of the case file jacket.

(3) Any mail received for a case which is loaned or 

temporarily transferred is forwarded to the 

appropriate DEEOIC Office that has the case file. 

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4. Temporary Transfers (Loans). (Continued)

c. Cases with Partial FDs for Compensation. There are 

instances when FAB issues a partial FD allowing for the 

payment of benefits to a claimant while another portion of 

the RD is held in abeyance as a result of the pending 

expiration of the claimant’s 60 day allotted time frame to 

file objections, or the consideration of objections or a 

request for a hearing already filed in reference to the 

pending portion of the RD. To ensure the timely processing 

of compensating the claim by the DO and the timely review 

of the pending portion of the RD by FAB, the following must 

be completed:

(1) The FAB Representative attaches a removable red 

label to the lower right corner on the front of the 

case file jacket with the following information:

(a) List the date of issuance of the pending RD

and whether it pertains to Part B and/or Part E;

(b) List the FAB Office the case needs to be 

returned to;

(c) List the name of the FAB CE or FAB Hearing 

Representative to whom the case is assigned; and

(d) List a “no later than” date by which the 

case needs to be returned to FAB, in order to 

ensure timely review.

(2) The FAB Representative also attaches on the front 

of the case file jacket a case transfer sheet (see 

Exhibit 2) printed on red paper, with all applicable 

items completed.

(3) The assigned FAB CE or FAB Hearing Representative

puts a call up note for the case in his or her Outlook 

calendar. 

(a) The local FAB employees notify their Manager 

at least ten days before the due date, if the 

case has not been returned by the DO. The 

Manager contacts the DO to have the case 

transferred back to his or her office. 

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4. Temporary Transfers (Loans). (Continued)

(b) The NO FAB employees notify the Operations 

Specialist and their Manager at least ten days 

before the due date, if the case has not been 

returned by the DO. The Operations Specialist or 

the Manager contacts the DO to have the case 

transferred back to the NO FAB.

(4) Once the DO has processed the claimant’s payment, 

the Chief of Operations, DD, Supervisory CE, Fiscal 

Officer, or designee attaches on the front of the case 

file jacket a case transfer sheet (see Exhibit 2) 

printed on plain white paper, with all applicable 

items completed, including in the Comments/Other field 

the name of the assigned FAB CE or FAB Hearing 

Representative to whose attention the case is to be 

given, identifying the claimant’s payment has been 

processed, and that the case is returned back to FAB 

for their review of the pending portion of the RD.

5. Permanent Transfers. Case files are permanently 

transferred between the DOs due to jurisdiction, based upon the 

employee’s last verified covered employment. There are 

instances when changes in jurisdiction go into effect in order 

to balance the case/workload among the DOs. 

In reference to Radiation Exposure Compensation Act (RECA)

claims, all RECA Section 5 claims are handled in the Denver DO 

and are transferred there accordingly. All Section 4 RECA 

claims are transferred to the DO which has jurisdiction, based 

upon the employee’s last covered employer. It is of utmost 

importance that if a case is misrouted to a DEEOIC Office from 

another DEEOIC Office, that it immediately be transferred to the 

appropriate DEEOIC Office.

a. Procedures for Permanent Transfers. After determining 

that a case needs to be transferred, the following actions 

are taken by DEEOIC staff:

(1) Prepare a transfer letter for the DD, ADD,

Supervisory CE, or designee’s signature notifying the 

claimant and other interested parties (e.g., Resource 

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5. Permanent Transfers. (Continued)

Center, authorized representative) of the transfer and 

the contact address and phone number of the other 

DEEOIC Office;

(2) Prepare a case transfer sheet (see Exhibit 2) for 

the DD, ADD, Supervisory CE, or designee’s signature 

(as discussed in paragraph 4 above) which is then 

attached to the front of the case file jacket;

(3) The DD, ADD, Supervisory CE, or designee ensures

the case is in a posture for permanent transfer (e.g., 

all pending actions have been taken, correspondence 

has been answered, mail has been filed down on the 

spindle, and the case file jacket is in good 

condition). The DD, ADD, Supervisory CE, or designee 

then authorizes the transfer and signs the

notification of transfer letter and the case transfer 

sheet;

(4) The Chief of Operations, DD, ADD, Supervisory CE, 

M&F Clerk, or designee transfers the electronic case 

record by keying the appropriate location code and 

DEEOIC Office in ECMS (See paragraph 3 above);

(5) The physical case file is sent either through a 

designated express mail service or through the USPS;

(6) Permanent case transfers need to occur within 20

days of the date of the last pending action taken; and

(7) If mail is received for the transferred case, the 

mail is forwarded to the responsible DEEOIC Office

that has the case file.

b. Delays in Permanent Transfers. In some instances, a 

case file reviewed for permanent transfer by the 

originating DO, is in a posture for an RD and needs to be 

sent to FAB for processing of the FD. In this instance, 

the originating DO prepares and issues the RD and transfers 

the case to FAB.

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5. Permanent Transfers. (Continued)

After taking all appropriate actions, FAB transfers the 

case back to the originating DO, which is the office that 

issued the RD. 

(1) If there are no remand actions to be taken, the 

originating DO proceeds with the permanent transfer of 

the case to the DO which holds jurisdiction. 

(a) The only exception to this is when FAB has 

determined that the claim is to be compensated. 

FAB proceeds with the permanent transfer of the 

case to the DO which holds jurisdiction (and not 

to the DO which issued the RD) to ensure timely 

payment of the claim. 

(2) If there are remand actions to be taken, the 

originating DO completes the actions stipulated in the 

remand order, reissues the RD, and transfers the case

to FAB. This also holds true when there is a change 

in jurisdiction while the case is at FAB for review. 

Ultimately, the case file is transferred to the 

originating DO for the completion of the actions 

stipulated in the remand order and reissuance of the

RD.

c. Receipt of File. When a physical case file arrives in 

the DEEOIC Office, M&F staff date-stamp the case transfer 

sheet and deliver the case to the M&F Clerk who enters the 

appropriate receiving/transferring in office and location 

codes in the “Dist Office” and “Location” fields, 

respectively, in the “Case Update” screen of ECMS (See 

Exhibit 1). 

The M&F Clerk also assigns the case in the “CE” field. 

(See Exhibit 1). The dates of the change in location and 

CE assignment are recorded in ECMS by tabbing over to the 

“Location Assign Dt” and “CE Assign Dt” fields, 

respectively, which automatically populates with the 

current date and time (these fields can be manually 

inputted if needed). The location codes are also notated 

on the front of the case file jacket.

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6. Referring Case Records to NIOSH. As part of the dose 

reconstruction process, NIOSH reviews the employee’s medical and 

employment records. The entire case file is copied and 

forwarded to NIOSH. This is done with the utmost attention as 

all DEEOIC staff members must ensure that Personally 

Identifiable Information (PII) is safeguarded (See EEOICPA PM 1-

0200). The original case file remains in the DO or NO CE2 Unit.

a. Case Records. On a summary sheet, the DO or NO CE2 

Unit prepares a list of the case files contained in the 

shipping package. The summary sheet clearly identifies the 

cases referred to NIOSH for dose reconstruction. The DO or 

NO CE2 Unit maintains a copy of the express mail shipping 

slip along with the summary sheet. 

b. Shipping Packages. The DO or NO CE2 Unit uses large 

express mail boxes when possible, as the boxes are

traceable. A copy of the summary sheet, listing the case

files being transferred, is inserted in each shipping 

package.

c. Shipping Address. Boxes are sent to:

National Institute for Occupational Safety and Health

Office of Compensation Analysis and Support

4676 Columbia Parkway

MS C45

Cincinnati, OH 45226

d. Schedule. Each DO (together with their local CE2 

Unit) must send cases on designated days based on the 

following weekly schedule:

Tuesday: Jacksonville (Wednesday NIOSH receipt)

Wednesday: Cleveland (Thursday NIOSH receipt)

Thursday: Denver (Friday NIOSH receipt)

Friday: Seattle (Monday NIOSH receipt)

Due to the volume of referrals generated, the NO CE2 Unit 

does not have a designated day to send their cases to 

NIOSH. Instead, the NO CE2 Unit sends their cases on an as 

needed basis.

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6. Referring Case Records to NIOSH. (Continued)

e. Coordination with NIOSH. Each week, the DO or NO CE2 

Unit sends an e-mail to ocas@cdc.gov which lists the 

express mail tracking number for each box shipped. If a

shipment was not sent that week or was sent late, NIOSH 

must be informed. This notification assists NIOSH with 

inventory control.

f. NIOSH Point-of-Contact Phone Numbers.

Cleveland DO 513-533-8423

Denver DO 513-533-8426

Seattle DO 513-533-8424

Jacksonville DO 513-533-8425

NO CE2 Unit 513-533-8565

7. Referring Cases to Medical or Scientific Specialists in NO. 

When a case file is referred for a review by a Medical Director, 

Industrial Hygienist, Toxicologist, or a Health Physicist, the 

case file or the medical records from the case file are copied 

and sent to the appropriate specialist in NO. 

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ECMS CASE LOCATION CODES

3-Character codes that identify physical location

of case file jacket

CAA-CAP Claims unit A, stations A thru P

CBA-CBP Claims unit B, stations A thru P

CCA-CCP Claims unit C, stations A thru P

CDA-CDP Claims unit D, stations A thru P

CEA-CEP Claims unit E, stations A thru P

CFA-CFP Claims unit F, stations A thru P

CGA-CGP Claims unit G, stations A thru P

CHA-CHP Claims unit H, stations A thru P

CIA-CIP Claims unit I, stations A thru P

FCA-FCZ FAC FAB Cleveland, stations A thru Z

FDA-FDZ FAD FAB Denver, stations A thru Z

FJA-FJZ FAJ FAB Jacksonville, stations A thru Z

FSA-FSZ FAS FAB Seattle, stations A thru Z

FNA-FNZ FAB National, stations A thru Z

FN0-FN8 FAB National, stations 0 thru 8

FN9 FAB National, Hdqtrs Payment 

 Processing

FA1-FA4 FAB National, CE2 Unit

XOC Transferred Out by Cleveland

XOD Transferred Out by Denver

XOJ Transferred Out by Jacksonville

XOS Transferred Out by Seattle

XOF Transferred Out by FAB

XON Transferred Out by NAT

XIC Transferred In by Cleveland

XID Transferred In by Denver

XIJ Transferred In by Jacksonville

XIS Transferred In by Seattle

XIF Transferred In by FAB 

XIN Transferred In by NAT

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F01-F09 FISCAL Location 1 thru 9

DD-DDO District Director’s Offices

DMO District Management Officer

OPS Chief of Operations’ Office

OP1-OP12 Customer Service Reps/

Technical Assistants/Contract Staff 1 thru 12

TW1-TW4 Technical Writer 1 thru 4

CPY Copying Case File

FIL FILE Room

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DEEOIC CASE TRANSFER SHEET

Employee Name: 

Case File Number: Docket Number (If applicable): 

Claimant(s) Name(s)

(other than employee)

1. 

2. 

3. 

4. 

5 

TRANSFER 

FROM: DISTRICT OFFICE FINAL ADJUDICATION BRANCH NATIONAL OFFICE

Cleveland CE2 Unit

Denver 

Jacksonville 

Seattle 

Cleveland

Denver

Jacksonville

Seattle

Washington DC

Director

Policy Branch

CE2 Unit

TRANSFER TO: DISTRICT OFFICE FINAL ADJUDICATION BRANCH NATIONAL OFFICE

Cleveland CE2 Unit

Denver 

Jacksonville 

Seattle 

Cleveland 

Denver 

Jacksonville 

Seattle 

Washington DC 

Director

Policy Branch

CE2 Unit

REASON FOR DO’s / CE2 UNIT’S / NO’s TRANSFER: REASON FOR FAB’S TRANSFER:

FAB Review

Recommended Decision Reconsideration

Policy/Procedure

 Reopen Remand Challenge 

 Policy Question Solicitor

 Medical Director Industrial Hygienist 

 Toxicologist Health Physicist

Remand Reversal Affirmation

Reopen Policy Question Solicitor 

Medical Director Industrial Hygienist 

Toxicologist Health Physicist

 Send Copy of Final Decision to: 

 NIOSH DOJ (RECA) RC _________ 

STATUS Part B Part E ECMS Final Decision Coding

Part B: Part E: 

AOP Amount 

Part B: 

Part E: 

COMMENTS / OTHER

 

 

 Accept

Deny

Defer

Initiated by: 

Name/Title Date

Authorizing ______________________________________ ______________________________

Signature Name/Title Date

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