Chapter 1-0500 Transfers and Loans

TABLE OF CONTENTS

Paragraph and Subject Page Date Trans. No.

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

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.

(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.

(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 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;

(d) To the NO, select any of the following below, as appropriate:

(i) For a request to reopen, select the option Reopen;

(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.

(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

(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.

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 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.

(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.

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;

(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.

(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 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.

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.

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.

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.

Exhibit 1: ECMS Case Location Codes

Exhibit 2: DEEOIC Case Transfer Sheet