PRIVACY ACT

OWCP Interagency Meeting

November 4, 2014

Paul J. Klingenberg, Esq.

Senior Attorney 

Office of the Solicitor, FEEWC Division
Disclaimers

 This is not a comprehensive Privacy Act 

presentation—it is specific to OWCP records 

maintained in DOL/GOVT-1, a government-wide 

System of Records (SOR)

 If you need Privacy Act advice regarding records 

maintained by your own agency under your own 

SOR, or under an OPM government-wide SOR, 

contact your General Counsel’s/Solicitor’s Office

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Structure of the Privacy Act

ESTABLISHES RIGHTS (INDIVIDUALS)

CREATES RESPONSIBILITIES (AGENCIES)

PROVIDES OVERSIGHT MECHANISMS

NOT JUST ACCESS AND DISCLOSURE—

RECORDS MANAGEMENT IS KEY

“No Disclosure Without Consent”
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TERM: RECORD

 INFORMATION ABOUT AN INDIVIDUAL

– EDUCATION, FINANCIAL TRANSACTIONS, 

MEDICAL HISTORY, AND CRIMINAL AND 

EMPLOYMENT HISTORY

 INDIVIDUAL IDENTIFIER

– NAME, IDENTIFYING NUMBER, SYMBOL, OR 

OTHER IDENTIFYING PARTICULAR ASSIGNED 

TO INDIVIDUAL, SUCH AS FINGERPRINT, 

VOICE PRINT, BIOMETRIC OR PHOTOGRAPH

PRIVACY ACT
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TERM: ROUTINE USE

 ALLOWS FOR THE DISCLOSURE OF A 

RECORD OUTSIDE OF THE AGENCY 

WITHOUT CONSENT (BECAUSE OF 

NOTIFICATION TO THE INDIVIDUAL AT 

THE TIME OF COLLECTION)

 DISCLOSURE MUST BE “FOR A 

PURPOSE WHICH IS COMPATIBLE WITH 

THE PURPOSE FOR WHICH [THE 

INFORMATION] WAS COLLECTED”

PRIVACY ACT
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PURPOSE of the PRIVACY ACT:

BALANCE GOVERNMENT’S NEED TO

MAINTAIN INFORMATION

WITH 

THE RIGHTS OF INDIVIDUALS

TO BE PROTECTED AGAINST THE 

UNWARRANTED INVASION OF THEIR 

PRIVACY

No Disclosure Without Consent
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1. RESTRICT DISCLOSURE (No 

Disclosure Without Consent)

2. GRANT INDIVIDUALS INCREASED 

RIGHTS OF ACCESS

3. GRANT INDIVIDUALS RIGHT TO SEEK

AMENDMENT OF AGENCY RECORDS

4. ESTABLISH A CODE OF 

“FAIR INFORMATION PRACTICES”

FOUR BASIC POLICY OBJECTIVES
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REMEMBER--A DISCLOSURE MAY BE WRITTEN 

(MOST DISCLOSURES ARE)

BUT THERE ARE ORAL DISCLOSURES AS WELL

AND ALL DISCLOSURES 

(INCLUDING DISCLOSURES FROM AQS & iFECS) 

ARE COVERED BY PRIVACY ACT PRINCIPLES

PRIVACY ACT SYSTEM OF RECORDS

OFFICIAL NAME: DOL/GOVT-1

Office of Workers’ Compensation Programs, 

Federal Employees’ Compensation Act File
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1. FEDERAL EMPLOYEE DISCLOSURE OF 

INFORMATION PROHIBITED FROM DISCLOSURE

--(all three)--MISDEMEANOR, FINE NOT > $5,000

PRIVACY ACT—CRIMINAL 

PENALTIES (INDIVIDUALS)

3. ANYONE, INCLUDING A FEDERAL EMPLOYEE,

REQUESTS OR OBTAINS ANY RECORD UNDER 

FALSE PRETENSES

2. FEDERAL EMPLOYEE WILLFULLY 

MAINTAINS A SYSTEM OF RECORDS

WITHOUT MEETING NOTICE REQUIREMENTS
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 These provisions are solely criminal, and 

create no private right of action against a 

federal employee individually

 In other words, if you violate an individual’s 

privacy, the individual can only sue the 

government

BUT THE GOVERNMENT CAN 

PROSECUTE YOU

PRIVACY ACT
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CIVIL REMEDIES—AMENDMENT, ACCESS, 

ACCURACY, & OTHER DAMAGES

SUIT IS AGAINST FEDERAL AGENCY ONLY—

INDIVIDUAL FEDERAL EMPLOYEE IS NOT

ABLE TO BE SUED FOR MONEY DAMAGES 

UNDER THE PRIVACY ACT

PRIVACY ACT—CIVIL REMEDIES
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SYSTEMS OF RECORDS

WORKERS’ COMPENSATION

RECORDS BELONG TO DOL, 

AND DOL ONLY

ANY RECORDS THE EMPLOYING 

AGENCY HAS, INCLUDING 

COPIES, BELONG TO DOL
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PRIVACY ACT

WHAT DOES THAT MEAN?

ANY RECORDS THE AGENCY HAS 

BELONG TO DOL, AND CAN ONLY BE 

RELEASED IN ACCORDANCE WITH 

DOL’S PUBLISHED ROUTINE USES, 

AND WITH DOL’S INTERPRETATION
20 C.F.R. 10.11 

Who maintains custody and control of FECA 

records?

 All records relating to claims for benefits filed 

under the FECA, including any copies of such 

records maintained by an employing agency, 

are covered by the government-wide Privacy Act 

system of records entitled DOL/GOVT-1 (Office 

of Workers’ Compensation Programs, Federal 

Employees’ Compensation Act File). This system 

of records is maintained by and under the control 

of OWCP, and, as such, all records covered by 

DOL/GOVT-1 are official records of OWCP. 

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SYSTEMS OF RECORDS

WHAT ARE DOL’S PUBLISHED ROUTINE USES?

In addition to the 12 universal routine uses that 

apply to all DOL systems of records, there are 17 of 

them in DOL/GOVT-1

Examples:

- third party in a third party action

- employing agency at time of

injury to verify billing, check status 

of claim, consider rehire, etc.

- potential employers for return to 

work consideration
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SYSTEMS OF RECORDS

- Rehab agencies for evaluation

- Physicians for use in treatment

- Health insurance or medical/welfare plans for 

clarification of billing responsibility

- Labor union acting on behalf

of the employee

- dual benefits issues
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Distinguish Between “Right of Access” 

Disclosures and “Routine Use” Disclosures

 Disclosure to the subject of the record (the FECA 

claimant), while appropriate, authorized, and 

required by 5 U.S.C. § 552a(d)(1) (individual’s 

right of access), is not a disclosure pursuant to a 

routine use

 Examples of routine use disclosures:

– Example—routine use e of DOL/GOVT-1 authorizes 

release of FECA file information to physicians treating 

or examining a FECA claimant

– Another example—routine use o allows release of 

FECA file information to a Member of Congress in 

response to a request for assistance to a claimant
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SYSTEMS OF RECORDS

SO...WHAT DOES THIS MEAN?

Think It Through ...

WORKERS’ COMP DATA CAN

BE RELEASED ONLY FOR THE

ROUTINE USES ESTABLISHED

BY DOL 
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WHEN YOU RELEASE DATA, YOU CAN 

RELEASE ONLY THAT PART OF THE 

RECORD THAT IS NECESSARY TO MEET 

THE ROUTINE USE

IT IS A VIOLATION OF THE PRIVACY ACT IF 

YOU GIVE ANY INFORMATION NOT 

COVERED BY THE ROUTINE USES TO 

ANYONE

WHEN IN DOUBT, CALL OWCP
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Personally Identifiable Information (PII)

The department defines PII as information

 “whose disclosure could result in harm to the 

individual whose name or identity is linked to that 

information. Examples include, but are not limited to, 

social security number; credit card number; bank 

account number; residential address; residential or 

personal telephone; biometric identifier (image, 

fingerprint, iris, etc.); date of birth; mother’s maiden 

name; criminal records; medical records; and 

financial records. The conjunction of one data 

element with one or more additional elements 

increases the level of sensitivity and/or propensity to 

cause harm in the event of compromise.”
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DISCLOSURE YES/NO??

 EMPLOYING AGENCY

– OIG—YES (IF INVESTIGATING FECA FRAUD)

– INJURY COMP—YES

– SECURITY OFFICE—YES, with limitations

– SUPERVISOR—YES, IF RTW, and with limitations

– EEO INVESTIGATOR—NO (with PA WAIVER, YES)

– PERSONNEL ACTION—NO

– AGENCY ATTORNEY—NO (if assisting agency with FECA 

case itself, YES)

– BUDGET OFFICE—YES, summary information only

– SAFETY AND HEALTH—YES, with limitations

– UNION REPRESENTATIVE—YES, but only if representing 

claimant before OWCP
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“YES” DOES NOT MEAN 

UNQUALIFIED YES

 It is important to remember that, unless you have 

a Privacy Act waiver signed by the FECA 

claimant, or are responding to a first person 

request by the claimant,

 you always must confirm that the expected use of 

the information is compatible with the routine use, 

and

 you disclose the least amount of information 

necessary for the recipient’s anticipated use.
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Privacy Act/FECA References

 Main DOL Privacy Act Systems Page 

http://www.dol.gov/sol/privacy/main.htm

 DOL/GOVT-1 Systems Notice 

http://www.dol.gov/sol/privacy/dol-govt-1.htm

 DOL Universal Routine Uses 

http://www.dol.gov/sol/privacy/intro.htm

 DOL’s assertion of control 

http://www.dol.gov/sol/privacy/gov-wide.htm