Chapter E-400 Resource Centers, Establishing DOE Employment and Exposure

1. Purpose and Scope. This chapter describes the policies and procedures governing the Division of Energy Employees Occupational Illness Compensation (DEEOIC) Resource Centers (RC). This chapter also describes the procedures the RC and District Office (DO) Claims Examiners (CE) use for establishing covered employment under the Energy Employees Occupational Illness Compensation Program Act (EEOICPA) outside of cases related to the Radiation Exposure Compensation Act (RECA). For detailed employment verification regarding RECA, please see Procedure Manual (PM) Chapter E-700, Section 4. CE procedures to develop for exposure to toxic substances at a Department of Energy (DOE) facility under Part E of the EEOICPA are also discussed here.

2. Resource Center Role. The DEEOIC RC’s are situated in key geographic locations throughout the United States to provide assistance and information to the EEOICPA claimant community and other interested parties. The RCs gather substantial information and documentation, but do not render entitlement determinations.

All adjudicatory and most additional development functions are retained by the DO. The RCs perform only certain initial development and limited follow-up tasks specifically outlined in these procedures. The RC role as it pertains to initial employment verification and occupational history development includes the following:

a. Electronic Case Management System (ECMS) Access and Data Input. ECMS access is granted to the RCs in order to memorialize claimant interaction and obtain claim status updates. Such interaction is recorded in ECMS Notes or ECMS Telephone Management System (TMS). RCs do not have the capacity to input ECMS case status codes. Specific technical guidance regarding ECMS is provided in the ECMS User’s Reference Guide. Some RC activity occurs prior to DO case create, and ECMS data input is unavailable. ECMS entries by the RCs are only made on created cases that exist in ECMS. In instances where the case is not yet created, the RC maintains a written account of all claim-related activity indicating the date on which such activity took place. All pre-case create actions at the RC are memorialized in the RC memorandum to the DO discussed later in this chapter.

1) ECMS Notes. The notes field is used for all face-to-face contact with a claimant on a created case. Such instances include the following: a claimant appears at the RC to submit evidence or claim forms, to make an inquiry or raise a concern, or to complete the Occupational History Questionnaire (OHQ) interview if the interview is done in person, face-to-face. The RC staff member assisting the claimant memorializes the claimant’s visit in the notes field in ECMS, providing a synopsis of the conversation and a description of any evidence or new claim filed during the visit. The Notes entry outlines the interaction with the claimant, including instructions or guidance the RC provides to the claimant. The RC only discusses information on a specific claim with the claimant in question. Once a note is placed in the system, a hard copy is printed and forwarded to the appropriate DO/FAB for association with the case file.

(a) When creating an ECMS notes entry, the RC selects ‘R FOR RESOURCE CENTER USE ONLY’ entry in the “Note Type” section in the upper left hand box of the screen.

2) ECMS TMS Usage. One major customer service function performed by RC staff members is telephone contact with claimants and other interested parties. RC staff members receive incoming telephone calls, return telephone calls and place outbound telephone calls to claimants and various other individuals regarding questions and concerns arising out of the claims process. Each telephone call to or from a claimant must be accurately entered into ECMS in accordance with the specific instructions contained in the ECMS User’s Reference Guide. If RC staff members conduct Occupational History Interviews/Questionnaires by telephone, the OHQ interview must be memorialized in TMS in the same manner as the in-person interview is done in ECMS notes. The TMS feature in ECMS allows RC staff members to memorialize telephone conversations and to access telephone messages for calls received in the RC. TMS provides a mechanism to track and maintain telephone contacts on given case files.

The RC staff member associated with the telephone call outlines the content of the discussion, the claimant request, if any, the guidance or solution offered, and the general outcome of the call or resolution of the issue at hand. The entry of quality data is of the utmost importance, and the RC staff member strives to ensure accuracy and specificity of data input into the system when telephone contact is placed in TMS. As with ECMS notes, the RC prints a TMS record once completed. The printed TMS record is forwarded to the appropriate DO for association with the case file. The following are the types of telephonic activity at the RCs:

(a) Direct Calls. RCs receive various different kinds of direct calls. Generally, incoming calls are from claimants (or their duly appointed authorized representative) seeking claim status or guidance of some sort, or from potential claimants seeking program information and guidance regarding the claims process.

(b) Return Calls. Regardless of the issue at hand, a message to return a telephone call received in the RC is returned by a RC staff member within two (2) business days of receipt. All calls received in the RC related to claims currently existing in ECMS will be logged into the TMS and must be returned accordingly.

(c) Outgoing Calls. Outgoing calls are calls generated from the RC for a purpose other than returning a telephone call. In certain instances the DO may request RC assistance in obtaining evidence from a claimant or conducting some additional follow-up on a case file. Many RC outgoing calls will be generated in the course of conducting employment verification and occupational history development, and are only memorialized in ECMS on created cases.

3) Editing ECMS Entries. ECMS entries placed into the system by RC staff may be changed as needed by the RC ECMS user to correct errors, or at the request of the RC manager upon his/her final review of claim file material before it is forwarded to the DO. However, ECMS entries cannot be deleted by the RC. RC staff and managers must ensure that the data entered into ECMS is of high quality and free of errors prior to saving the entries into the system.

(a) Once an ECMS record is input at the RC level, only National Office (NO) DEEOIC staff may remove it. At the present time, no capability to add or alter ECMS claim status codes has been granted to the RC’s, and all coding operations related to RC activity on a case (aside from activities related to input in TMS or ECMS Notes) are entered at the DO level to correspond with the date of the activity as it is noted on the RC memorandum accompanying the submission of case file materials to the DO.

4) Granting and Deleting ECMS Access. Due to the sensitive nature of the records available for viewing in ECMS and other claim file documents (i.e. employment history, payment information, disease history, Social Security Numbers [SSN], and addresses); security measures govern access to the system. When a RC staff member’s employment is terminated, that employee’s ECMS access must be disabled in an efficient manner. Conversely, when a RC staff member is added and ECMS access is required for that individual, a process must be in place to grant access as needed.

(a) Memorandum from RC Manager. Upon employee termination or resignation, the RC manager must prepare a memorandum to the RC Project Manager. The memorandum provides the employee’s name, title, employee number, and all other necessary information, including the date of the employee’s termination or resignation. The memorandum requests that the employee’s access to ECMS be terminated on a specified date (date of termination or resignation). The RC Project Manager then prepares a memorandum notifying the Branch Chief of the Branch of Outreach and Technical Assistance (BOTA) advising of the RC employee’s scheduled departure. The Branch Chief of BOTA advises Energy Technical Support of the need to delete ECMS access to the outgoing RC employee upon receipt of such notification. In the event of the addition of new RC staff requiring ECMS access, the RC manager prepares a memorandum to the RC Project Manager requesting such access and providing all pertinent employee information. The Branch Chief of BOTA is advised via a memorandum from the RC Project Manager and reviews the request and advises Energy Technical Support of the need to grant access to an incoming RC employee.

b. Providing Claimants with Claim Status. Claim status requests regarding initial employment verification or occupational history development fall within the purview of the RC staff. Other claim status requests are fielded by RC staff members to assist claimants with general questions not requiring DO or FAB expertise or involvement. The RC staff member reviews ECMS status codes and answers claimant inquiries, memorializing such activities into the TMS or Notes screen. If the claim status request is beyond the scope of the RC staff to address, the RC staff member determines the case file location in ECMS and directs the caller to the proper CE or HR. Inquiries received from a claimant or authorized representative seeking claim statuses are referred to the adjudicatory DO CE or the FAB Hearing Representative (HR) as necessary. When referring a claimant or authorized representative to a DO or FAB for further information, the RC provides the toll free number to the DO or FAB.

c. Providing Program Information or Claim Process Guidance. If a potential claimant calls for information and/or guidance and no claim is on file, the RC staff member informs the potential claimant of program filing requirements and available benefits. No referral to a DO or FAB is necessary. As no claim exists in the system, a note memorializing the telephone conversation is not entered into ECMS. In instances where a current claimant contacts the RC for basic guidance regarding the claim process (confirmation that a claim exists, questions regarding the submission of new evidence or a new claim for benefits), the RC can provide guidance to the claimant as needed without referral to the DO or FAB. In some instances, the RC staff may assist claimants in understanding the information being sought in DO development letters and explain the means by which such information may be obtained. Claim-specific conversations and guidance provided on claims existing in ECMS are entered into TMS.

d. Initial Employment Verification. The RC’s take initial employment verification steps for all new non-RECA EEOICPA claims (Part B, E, and B/E) filed with the RC. The DO conducts initial employment verification on claims filed directly with the DO. The EE-3 form is generally the principal source for claimed employment information. However, if a claim is filed without the EE-3, the RC does not solicit the EE-3 from the claimant. Rather, all claim materials are forwarded to the DO and the DO conducts the initial employment verification process.

1) The RC utilizes DEEOIC tools, including procedures, bulletins, and employment verification updates and is given access to the DEEOIC Shared Drive for viewing of these materials. The RC conducts initial employment verification on claims submitted by DOE contractor/subcontractor, Atomic Weapons Employer (AWE), and Beryllium Vendor (BV) employees for use by DEEIOC in the adjudication of claims filed under the EEOICPA.

e. Occupational History Development. RCs conduct occupational history development on all new Part E claims and some previously filed Part D/E claims. This action is treated in more detail below.

f. Most new EE-1/2 claim forms are filed directly with the RC located in the geographical area where the claimant(s) reside. EE-1/2s received directly in the DO undergo employment verification at the DO pursuant to procedural guidance already in place and such claims are only referred to the RC if the DO determines that an occupational history questionnaire is required. Regardless of place of receipt, the date of filing for a claim is the earliest discernible date stamp or postmark (whichever is earliest) of a claim form or words of claim. Words of claim are any written statements received without a claim form that indicate a claimant’s intention to seek benefits under the EEOICPA.

g. When a claimant files a claim telephonically with RCs but then either refuses or fails to sign an actual claim form, the RCs must proceed as follows: Two weeks after the call, the RC must telephone the claimant, informing him/her that the claim form must be signed to complete the filing process, recording the contact in ECMS and TMS. Two weeks after that initial follow-up call, the RC must send the claimant a letter telling him/her that the unsigned claim form will be forwarded to the District Office assigned to adjudicate the claim, documenting the file accordingly, but that the DO CE will administratively close the claim because of the lack of a signed claim form. The RC shall then prepare a memo to the file documenting the times, dates, and manner of the efforts made to get the form signed, and of the warning that the claim will be closed administratively.

Note: The CE enters the “C2” administrative closure claim status code in the electronic file while inserting reason code “FS,” failure to sign claim form, sharing an effective status date with the date of the memo to the file.

h. In certain instances, a RC staff member may either be a party to a claim under the EEOICPA or may have some personal or familial interest in the outcome of a claim.

1) Resource Centers should avoid conflicts of interest in processing claims and should avoid even the appearance of impropriety in their work. Their staff must work without any bias or influence that would affect their ability to render impartial service to the government in carrying out their duties. Therefore, Resource Center staff cannot process claims or conduct either employment verifications or occupational histories for immediate family members (defined as spouses, children, siblings, grandparents, parents, or cousins to the second degree) or to any other individuals with whom they would have so close a relationship as to affect their unbiased judgment. In such cases, the RC must notify the BOTA Branch Chief in writing via e-mail memorandum and should refer those cases to the nearest alternate RC. After the conflict review process is completed, the RC manager will prepare a memorandum to the alternate RC manager asking that the occupational history development task(s) be conducted and forwarded to the next nearest DO that does not have jurisdiction over the conflicted RC. The RC assigned this development action has 14 calendar days upon the receipt of the assignment to complete all these initial activities and to report to the DO as noted in this chapter.

2) When a RC staff member has a claim of his or her own or when the situation meets the definition of a conflict of interest due to a relationship defined above, the DO case file in question is transferred to the nearest DO for handling. For instance, a claim involving a RC staff member working at a RC within the jurisdiction of the Denver DO is transferred to the Seattle DO for handling, and visa versa. Claims involving a staff member working at a RC within the jurisdiction of the Cleveland DO are transferred to the Jacksonville DO, and visa versa.

i. Security and Individual Privacy Concerns. When interacting with claimants and other interested parties (i.e. authorized representatives of claimants) RC staff must remain cognizant of individual privacy concerns and at all times maintain compliance with Privacy Act mandates. Except as discussed below, RC staff members are not permitted to provide information regarding an individual claim for benefits, or any other personal information, to anyone other than the identified claimant, or his or her duly authorized representative.

1) In order for RC staff to release any information regarding a specific claim or claimant to an alleged authorized representative of that claimant, an authorization form signed by the claimant in question must be in the case file appointing such individual as the claimant’s authorized representative regarding his or her claim for benefits under the EEOICPA. Only one authorized representative may be appointed per claimant. A claimant may authorize other third parties to receive claims information, but may not authorize multiple authorized representatives. Please see EEOICPA PM 2-1200 for a full discussion of authorized representatives.

2) Where information is sought that exceeds the RC’s ability to assist the claimant or duly appointed authorized representative (i.e. specific development questions regarding the relationship between toxic substances and illness), the RC staff refers the matter to the proper DO CE or FAB HR, denoted in ECMS as the primary CE.

j. In all instances involving multiple worksites, the RC closest to the residence of the claimant(s) performs the required development tasks. For instance, if employment is claimed at all 3 Gaseous Diffusion Plants, and the employee/claimant(s) reside in the Paducah, Kentucky area, the Paducah RC handles all required tasks with assistance from the other RCs as needed.

1) If claimants reside in different states and the claim as a whole can be better served by utilizing more than one RC, a RC will be assigned based upon the geographical location of the claimant. In all such cases the RC forwards documentation to the appropriate, adjudicatory DO.

3. DO Employment Point of Contact (POC). Each adjudicatory DO District Director (DD) designates a primary RC employment verification POC and alternate designees in the case of absence of the primary, and provides the RC with this individual’s name and contact information.

a. The POC is designated by the DO DD, and the RC must be immediately informed if a POC replacement is made at the DO. The DO employment verification POC reviews all employment verification responses, consults ECMS to determine the CE handling the claim in question, and forwards all employment responses to the handling CE within 1 business day of receipt of the response in the DO.

b. The DO employment verification POC serves as the primary contact for all responses regarding initial employment verification requests made by the RC’s. Each POC for the respective DOs has access to an email address for use in employment verifications. The employment verification POC email address is copied on all email requests for verification (where such request is the desired method of inquiry) and the email from the RC provides the POC’s name and contact information and requests that the employment verification response be forwarded to the attention of the POC.

4. Determining Appropriate Subpart. The claim may be filed under Part B, Part E, or both depending upon the illness claimed and type of employment. The RC uses the DEEOIC case create worksheet (see EEOICPA PM E-200 Exhibit # 1), and reviews the claim materials for a determination as to benefits being sought and conditions claimed to determine under which Part a claim is being filed.

a. Claims submitted by Atomic Weapons Employers (AWE) employees are excluded from Part E coverage unless their employment occurred during a time when the AWE was undergoing DOE remediation. DOE remediation periods can be ascertained by reviewing the DOE covered facility website but the RC should seek DO guidance before conducting an interview regarding such claims.

b. Claims filed by contractors/subcontractors of DOE or Section 5 RECA workers are always treated as Part E claims for the purposes of conducting an occupational history interview.

c. At any time, the RC may consult the DO for guidance as to whether or not an OHQ is necessary.

5. RC Review of ECMS. When the RC is taking a claim and reviewing for initial action (employment verification or OHQ), the RC reviews ECMS to determine whether or not a claim already exists in ECMS.

a. If a claim does exist in ECMS B or E, the RC contacts the adjudicatory DO CE for guidance as to whether or not employment or occupational history development is required. If documentation is present in the existing claim file to either confirm employment or properly document workplace exposure, the DO advises the RC accordingly and no action is necessary at the RC level. This is a case-by-case decision made by the DO.

6. RC Review of the Case File. Upon receipt of a new claim, the RC staff member reviews the EE-1/2, EE-3, and EE-4 forms and the DOE covered facility website to discern the type of facility claimed (i.e. DOE, BV, or AWE). The DOE website lists all major covered facilities, applicable time frames, a description of the site operations, and in certain instances, the names of the contractors that worked at those facilities. This review is also helpful in determining the need for an OHQ, as AWE and BV employment is not covered under Part E and no interview is required.

7. ORISE Database. The ORISE database is accessed via ECMS. If employment is claimed at a covered facility listed on the website, the RC staff member determines whether or not employment can be verified through the ORISE database. The ORISE database contains employment information regarding over 400,000 employees who worked at certain facilities from the 1940’s to the early 1990’s. Complete usage instructions regarding the ORISE database are discussed in the ECMS release notes dated April 6, 2005, version 1.8.2.0. Since ORISE is part of ECMS, the RC staff member obtains ORISE information by entering an employee’s social security number or name. A complete list of facilities covered by ORISE can be found on the NO shared drive. If employment is claimed at a facility listed as being within the ORISE network, the RC staff member first proceeds to develop employment by accessing ORISE. If ORISE information is unavailable or inconclusive, additional development is pursued as outlined below. In either case, the RC staff member prints the results found in ORISE as part of the evidence of file. If employment is listed at a facility not on the ORISE list, ORISE is not consulted for verification.

a. If the ORISE data matches claimed employment within 6 months the RC prints the record and prepares a memo of findings and no additional development steps are required. The RC prints out the ORISE database query result, prepares a memorandum stating the date the ORISE action was taken, and forwards all available materials to the DO accompanied by an RC checklist (Exhibit 1). If an OHQ is required on a Part E claim, the RC attempts to complete the OHQ to be forwarded with the RC checklist. The findings and associated memoranda are subject to CE review and can potentially serve as a basis for verifying and accepting claimed employment under the EEOICPA.

b. If the claimed employment cannot be confirmed through ORISE, or is only partially confirmed, the RC prints the ORISE record and proceeds to determine if other sources of employment verification are available as outlined below.

1) The DO CE enters the "OR" claim status code to correspond with the date the ORISE action is taken at the RC once the initial employment verification package is received in the DO and the case is created. The ECMS status effective date is the date the RC searched ORISE.

8. Employment Verification Package. In addition to ORISE, employment under the EEOICPA is also verified using the EE-5 process. The RC refers the EE-5 package in accordance with EEOICPA PM Chapter 2-400 sections 3(a) and/or 9.

a. In instances where List 1 employment is claimed, the RC staff informs the claimant that DOE does not possess employment records for the facility claimed and no other knowledgeable source exists to verify employment. The RC, in writing or by telephone, advises the claimant to submit further evidence in support of his or her claimed employment directly to the adjudicatory DO.

1) The following evidence, while not exhaustive, may assist in evaluating the validity of a period of claimed employment: time and attendance forms; W-2 forms and other tax statements; wage and earnings statements; check stubs; correspondence from the employer addressed to the employee; notices of promotion, reassignment, layoff, etc; ID cards; minutes from employment related meetings; punch cards; sign in and out logs; security clearance applications; union records; letters and certificates of achievement or participation in a certain event. In addition, EE-4 forms (Employment Affidavit) from coworkers and others with first hand knowledge may be acceptable to establish employment in conjunction with other evidence. The RC may assist the claimant in preparing the EE-4, but only contacts employment verifiers as identified herein. The RC does not contact coworkers or other individuals or gather employment or other evidence on behalf of the claimant.

2) The RC prepares the claim package with the accompanying memorandum and check list outlining the actions taken and forwards all documents to the adjudicatory DO. The RC includes a copy of the DOE Verification of Employment Memorandum (see EEOICPA PM 2-400, Exhibit # 5), which serves as acknowledgment that DOE has no employment information to provide.

3) If the claimant is a walk-in at the RC, the RC requests the claimant sign a Social Security Administration (SSA)form, the SSA-581 (see EEOICPA PM 2-400, Exhibit # 6) so that the DO may request SSA records in the future for use as a tool in additional employment development. The RC does not forward the SSA-581 to SSA, but sends it to the DO with the employment verification packet. This form is only provided to walk-in claimants and is not mailed to a claimant from the RC.

b. In instances where employment verification is possible (List #2, 3, or 4) the RC immediately prepares an EE-5 form, or other required verification method, and forwards it to each entity responsible for employment verification. Each request for verification requires that a response be forwarded to the adjudicatory DO POC as outlined above.

c. If employment is claimed with a contractor or subcontractor of DOE, the RC staff attempts to determine the DOE facility at which the claimed employment took place. An EE-5 form (or other verification request) is sent to DOE with a request for a response to the adjudicatory DO employment verification POC.

d. If no known verifier exists for the contractor/subcontractor, depending on the worksite, no further action is necessary at the RC level.

e. Additionally, AWE contractors and subcontractors are not afforded coverage under the EEOICPA and no employment development is required.

f. In all cases where employment verification is undertaken, the RC prepares a memorandum documenting the dates on which employment verification actions were taken for each claimant. The memorandum is forwarded to the DO within seven (7) days of receipt of the EE-1/2. The memorandum is accompanied by the Resource Center Claim Check List (Exhibit 1) listing all materials enclosed and further actions required. Other subsequent submissions to the DO do not require a formal memorandum, but should be accompanied by the Resource Center Claim Check List. Any activity the RC took that needs to be captured by the DO in ECMS can be outlined either on the Check List or on an accompanying separate sheet of paper.

1) The RC manager verifies the contents of the referral package and signs the check list. The RC manager is responsible for validating that the information in the referral package(s) reflects the RC actions taken and accurately report the dates of all activities conducted.

2) Extensions of time are sometimes granted in the face of extenuating circumstances. In certain instances, RC staff conduct large outreach events away from the RC itself where new claims are taken. Since the RC is unable to begin employment verification actions away from the RC, the RC may ask the DO for an extension of time due to the circumstances at hand. The RC manager emails the DO Employment Verification POC with all claim file information requesting an extension of time and outlining the reason behind the request.

g. Newly-Designated SEC Classes and Employment Verification. Additional designations to the SEC class have been approved by the Secretary of the Department of Health and Human Services (HHS) and other designations are anticipated in the future. Many of the new SEC designations are/will be employment-specific and date-specific. HHS defines SEC inclusion specifically in many instances, and it will be necessary to identify a person’s job title, years of employment, place of employment, and other important facts based upon the specific language defining the SEC designation. As such, it is necessary to gather employment-specific information when verifying employment at these sites. The Branch of Policies, Regulations and Procedures (BPRP) issues Bulletins outlining the specific guidance relative to the handling of newly-designated SECs. It is the responsibility of the BPRP Branch Chief to ensure that the RCs are provided with all Bulletins related to SEC class inclusion.

(1) Cover letter to DOE. Since the EE-5 does not currently contain a section to list employment-specific information, the RCs will utilize the cover letter to DOE for this purpose. The DOE cover letter will request specific employment duty station information to assist the DO when rendering determinations as to SEC class inclusion. The request is tailored to meet the exact definition of SEC employment as set out by HHS and defined in Bulletins issued by DEEOIC’s Branch of Policies, Regulations and Procedures (BPRP).

9. Occupational History Development. In addition to initial employment verification, the RC’s conduct initial occupational history development on Part E cases only regarding claims involving covered Part E employees and their eligible survivors. This is done in part by completion of the OHQ (Exhibit 2). Whenever possible this step is conducted upfront during claim intake at the RC with the results forwarded to the DO within the 7-day period in which the initial employment verification task is conducted. The RC may conduct the OHQ prior to receipt of the claim filing. In such instances, the OHQ is forwarded to the DO with a memorandum and is maintained in the DO as outlined below until the claim form is filed and the case is created.

a. If the OHQ cannot be completed within the initial 7-day period, the RC sends the claims package to the DO immediately upon completion of employment verification (within 7 days of receipt of claim forms), and proceeds to conduct the occupational history development. The RC has a total of 14 calendar days from the date of receipt of the claim or receipt of the assignment from the DO (see E-400.11.a(1) (a) for assignment definition) to conclude the occupational history development steps. If all actions cannot be completed within that timeframe, the RC must advise the DO CE via email of the reason for the delay and outline a reasonable timeframe in which to finalize all necessary actions. If an additional 7 calendar days elapse after the 14 calendar day due date, the RC must telephone or email the DO CE requesting a time extension and providing an action plan as to completion. As soon as the occupational history task is complete, all documentation is immediately forwarded to the DO with a memo or Claim Check List noting the date on which the interview(s) was conducted. The RC maintains a copy of all case file materials until the occupational history development process is complete. If it is impossible for the RC to conduct the OHQ within 30 days of receipt of assignment and/or filing of the claim, the RC suspends all activities and reports to the DO. No further action is taken. The DO CE sends a letter to the claimant requesting a response once all materials are received in the DO. Depending upon claimant response, the CE can assign the OHQ task to the RC as the need arises.

b. Occupational history development is not conducted if beryllium illness or chronic silicosis are the only conditions claimed, unless otherwise directed by the DO. In addition, as noted above no occupational history development is conducted in the case where only ineligible survivors are claiming benefits. For a complete discussion of eligible survivors under Part E, please refer to Chapter E-600.

1) In such instances, the claim file material is immediately forwarded to the DO upon completion of the employment verification portion, the DO reviews for necessity of further occupational history development, and assigns development tasks to the RC as needed.

c. Occupational history development is also not required if benefits are approved under Part B, or a positive DOE physician panel finding exists that DOE accepted under the Part D program. In all cases, the RC consults ECMS for status of the Part B claim for acceptance and queries the DO for guidance if a question arises as to whether or not an occupational history development action is required.

1) If the Department of Justice (DOJ) has accepted a RECA Section 5 claim, no occupational history development is necessary. All other RECA claims generally require independent adjudication and require an OHQ. Cancer claims submitted by Section 4 RECA claimants who do not wish to file with DOJ require an OHQ. See Chapter E-700 for details.

d. Occupational History Questionnaire and Interview. The main function of the RC staff member in his or her occupational history development role is to conduct the OHQ interview. In cases with multiple survivors, all claimants are interviewed, unless one or more claimants have been designated to represent all of the claimants with regard to the interview process.

1) Sometimes one claimant will be more knowledgeable about possible worksite exposure, or more comfortable with consenting to a formal interview process than the other claimants. In such instances, a simple signed statement by the other claimants indicating their wish to designate a certain claimant to be interviewed in their stead will suffice.

2) Such a signed statement is not a designation of an authorized representative, and is only used in the interview process. Where an authorized representative has been appointed on a claim file with multiple claimants, there is no need to designate a claimant to participate in the questionnaire process. Authorized representatives may determine how the questionnaire process will be conducted, as they have been appointed by the claimant(s) to represent them with regard to every aspect of their EEOICPA claim.

3) Much of the information gathered through the occupational history development process is sensitive in nature and is subject to Privacy Act mandates. Accordingly, the information developed may not be disclosed to any individual unless he/she is an authorized representative of the claimant or an authorized DEEOIC representative. As with ECMS and ORISE access, the RC staff has access to highly personal information regarding employees and claimants and it is imperative that this information and data remain secure and that the privacy of all individuals is guarded with the utmost care.

e. The claims adjudication process has specific timeliness goals. Occupational history development is a very significant part of the process and requires timely scheduling and completion. It is imperative that an interview be scheduled and completed within the timeframes stated in this document, and that all reworks and follow-up interviews are conducted within 7 days of receipt in the RC as noted above. In order to properly conduct the required interview, the RC staff must possess an understanding of work performed by DOE employees. Knowledge of the types of hazardous materials potentially present at DOE sites, the covered illness resulting from claimed exposures, the standard length of exposure for the illness to occur, and the medical diagnosis required to verify the illness is also necessary. The RC staff must also possess sufficient knowledge of the EEOICPA, the DOE and RECA sites, and hazardous materials to record sufficient, valid data in occupational history questionnaires as well as ECMS and TMS notes.

f. Proper utilization of the OHQ. DEEOIC developed the DOE and RECA occupational history questionnaires for use by the RC staff and it is imperative that RC staff properly utilize the questionnaires so as to obtain the information DEEOIC requires in order to evaluate a claim for causation. This chapter deals solely with the DOE OHQ; for further guidance regarding the RECA OHQ, please refer to Chapter E-700 of these procedures.

1) The interview regarding the questionnaire may be conducted in person or via the telephone. On created cases, all telephonic activity regarding occupational history development is captured in the ECMS TMS screen; all in person activity conducted by RC staff is placed in the ECMS Notes screen. All required ECMS coding is input at the DO once the occupational history development task is complete and all documentation is returned to the DO.

g. The RC adheres to the script the DEEOIC developed when conducting interviews, to complete the OHQ. It is of the utmost importance that all interviews follow the prepared script, but flexibility is allowed for appropriate follow-up questions that logically flow out of the results of the interview. If the interviewee has little or incomplete knowledge about a particular subject, the RC must note such deficiencies so that the DO is aware that information gathering efforts were made. Each interview takes approximately two to three hours to complete. It is possible that multiple claimants will require an interview for one case file.

1) Overall, the RC interviewer is responsible for the proper conduct of the interview and for producing a complete, comprehensive questionnaire, including correct grammar and spelling.

2) The RC makes certain to comply with specific requests for information from the CE when conducting the interview. For instance, if the CE wants specific exposure information regarding solvents (i.e. benzene exposure) the RC follows up with a line of questioning to satisfy the CE’s request.

3) Once the interview is completed, the RC staff member gives the claimant the interview confirmation letter (Exhibit 3) verifying the date of the interview and that the interview indeed took place. A copy is sent with the OHQ for inclusion in the case file.

4) All information is saved to the OHQ exactly as it is presented by the interviewee without alteration, duplication, or summarization by the RC interviewer and the original paper version of the OHQ and a saved copy on a CD is forwarded to the appropriate DO within 2 business days of completion. The RC interviewer in no way interprets or alters the information presented by the interviewee. No written summary of the interview is prepared by the RC interviewer. The OHQ is a stand-alone document and only the CE may interpret its meaning when utilizing it as a development tool.

h. In certain instances no RC action is required. Neither initial employment verification nor occupational history development is undertaken in instances where there is no eligible survivor under the statute. In instances where it is obvious that no eligible survivor exists (especially in the case of adult children under Part E) no additional RC action takes place.

1) Since occupational history development is conducted exclusively on Part E claims, no action is necessary where Part E employment is not claimed or confirmed. If employment is claimed or confirmed at an AWE or a BV, no occupational history interview is conducted.

2) AWE contractors/subcontractors are not afforded coverage under the EEOICPA, and such claimed employment does not require occupational history development by the RC.

3) The RC does not conduct initial employment verification on claims submitted by RECA claimants. However, occupational history development is necessary on most RECA claims and should be attempted upon receipt of the EE-1/2 in the RC. Nonetheless, since the DO must begin employment verification with the DOJ, all RECA claim forms are sent to the DO on the date of receipt in the RC for case create at the DO. Since the RECA claim forms are not held for 7 calendar days, as in most other cases, whenever possible the RC attempts to conclude the occupational history development on the date of receipt of the RECA claim forms prior to shipment to the DO.

(a) In instances where occupational history development cannot be completed at the RC on RECA claims upon the date of filing, the RC copies the RECA claim form documents and maintains a file at the RC while conducting occupational history development actions. In such instances the RC has 14 calendar days from the date the claim is received in the RC to conclude the occupational history development actions.

4) The RC prepares a list of all materials being submitted on a transmittal sheet outlining the material being sent, separated by claim number. All such documentation is associated with the proper case file upon receipt in the DO pursuant to current mail and file procedures.

i. Once all employment verification and occupational history development actions are finalized and it is confirmed by telephone conversation or email with the CE that the DO does not require further assistance, the RC destroys its file copy.

10. Transfer from the RC and Case Create in the DO. Once all possible initial employment verification/occupational history development actions are concluded within the 7 day post-assignment period in the RC, all claim forms, associated documentation, and the RC checklist is forwarded to the DO with a memorandum outlining RC activities to that point. Upon receipt of the 7 day initial submission, the case is created as set out in Chapter E-200 of these procedures. Once the case is created and the claim assigned to a CE, the CE reviews all claim file materials and employment verification/occupational history development materials for ECMS coding. The CE inputs coding in ECMS to correspond with the date on which the action actually took place at the RC.

a. Deleting the “UN” code. Certain actions will take place at the RC prior to case create. All RC actions must be entered into ECMS corresponding with the actual date upon which they took place. Accordingly, the CE must delete the “UN” code from ECMS upon entry of the code indicating an RC action that took place on a date prior to the case create date.

b. The CE enters the "ES” and/or "CS" claim status code(s) into ECMS, with a status effective date of the date on which such action(s) was taken in the RC. If the CE enters an “ES”, he/she then enters the appropriate reason code from the drop down menu, which includes the Operations Center and that an EE-5 was sent [ie. “AL5 – Albuquerque Operations Office (EE-5)”]

c. The CE enters the "DO" claim status code, and selects the reason code "OH - Occupational History" with a status effective date of the date on which the RC completed the OHQ per the RC memo to the DO. The CE should also enter these codes if the RC attempted to complete the OHQ, but was unsuccessful because the claimant could not be reached or refused to complete it. The status effective date in such situations is the date of the RC memo to the DO explaining why the OHQ could not be completed.

d. Upon receipt of the initial claim file package where additional DO development or follow up with the RC is required, the CE places a call up note into ECMS as a reminder that follow up actions are necessary.

1) The CE reviews the initial submission (and all material submitted from the RC thereafter) to determine whether or not additional tasks are necessary at the RC level. Materials received in the RC after the initial 7 day memo are sent to the DO with the occupational history development package if such package can not be included with the 7 day memo submission. All other materials received at the RC after all development is concluded (including printouts of TMS and ECMS Notes records) are submitted based upon RC procedures currently in place for the submission of documentation to the DO. No memo or checklist is required for these materials.

e. Once the DO receives the occupational history development package, the CE thoroughly reviews it. As noted above, any part of the package may be returned by the DO if a deficiency is identified or an additional interview is deemed necessary. The CE reviews the materials and updates ECMS coding where necessary to correspond with the date upon which the development action occurred at the RC level. The CE utilizes the information obtained during the occupational development as a key tool for establishing causation (based upon employment and the claimed covered illness) in the adjudication process. Additionally, the CE proceeds to develop the claim pursuant to current procedural guidance.

f. Receipt of Material in the DO Prior to Case Create. In some cases the DO will receive documentation from the RC prior to receipt/filing of a claim form. If the RC conducts an OHQ prior to receipt of the claim form, the RC forwards the completed OHQ to the DO with a memorandum outlining the activity and the date upon which such activity occurred. The DO maintains all such information in a dummy folder and retains it until the claim form is received. At time of case create, RC actions are coded to correspond with the day upon which they actually transpired, regardless of claim filing date. ECMS coding must at all times reflect the true date a RC action was taken.

11. Part D/E Claim Files. Part D/E claims filed prior to the issuance of this chapter could potentially require occupational history development at the RCs. The DO evaluates the older Part D/E claims on a case-by-case basis to determine whether or not a referral to the RC is required.

a. When reviewing these cases, the CE examines the case file contents for the existence of DAR records, other DOE exposure records, and other employment records in general that might provide exposure evidence and eliminate the need for an OHQ. Additionally, the DO CE consults the Site Exposure Matrices (SEM) in conjunction with the case file material to ascertain the need for further development by the RC. The CE must make the OHQ assignment to the RC unless he/she is able to establish the plausibility of exposure to a toxic substance by other means (i.e. the SEM, DAR records, other employment evidence indicative of exposure).

(1) If the CE determines that an OHQ is required due to a lack of other exposure and employment evidence, an assignment to the RC is made. Once the CE identifies that a Part D/E claim requires RC occupational history development, the DO refers pertinent case file materials (employment and exposure records on hand) to the appropriate RC with precise instructions set out in a memo as to the information being sought in the questionnaire. The RC has 14 calendar days from the date of receipt of the assignment from the DO to complete the occupational history development tasks outlined by the CE.

(a) RC Referral Package. The CE making the referral prepares a memorandum to the appropriate RC requesting that the OHQ be completed. The CE lists any specific information (i.e. toxic exposure, employment) that is in need of development. Any relevant case file material (i.e. claim forms, etc) is attached for RC review. The SrCE or Supervisor reviews the memorandum and approves the assignment before it is sent to the RC. Upon receipt in the RC, the assignment is logged into ECMS Notes. Date of receipt in the RC is the first day of the 14 calendar day due date period.

(b) DO Letter Advising Claimant of Assignment. Once the CE identifies the need for an OHQ on a Part D/E claim and tasks the RC with an assignment to conduct the questionnaire, the DO sends a letter to the claimant. The letter advises the claimant that the questionnaire interview is conducted on behalf of DOL, that it is different from any other prior interview the claimant may have given, and that the interview intended to provide the claimant with a thorough and timely adjudication of his or her claim.

(c) The DO CE codes assignments made to the RC on identified existing cases in ECMS that require occupational history development by utilizing the ‘RC – Resource Center’ code. The CE then selects “Assignment” from the drop down menu as the reason code. The status effective date is the date of the DO memo to the RC outlining the assignment task.

(d) The CE enters the "DO" claim status code, and selects the reason code "OH - Occupational History" with a status effective date of the date on which the occupational history questionnaire was completed by the RC as noted on the RC memo to the DO. (This applies to completion of OHQs from follow-ups and reworks, discussed below, as well.) The CE should also “close out” the OHQ assignment (or follow-up or rework) in this manner if the RC attempted to complete the OHQ, but was unsuccessful because the claimant could not be reached or refused to complete it. The status effective date in this type of situation is the date of the RC memo to the DO explaining why the OHQ could not be completed.

12. Follow-Up or Reworks of Complete OHQs. Upon review of a completed OHQ, the DO may determine that additional information is required and request the RC to conduct a follow-up interview, or identify an error that requires remedy as a rework of the questionnaire.

a. Follow-up interviews are conducted when the DO identifies additional issues through further development of the claim for causation that require RC assistance. Follow-up assignments are made directly by the CE to the RC manager with an accompanying memo outlining instructions as to the required additional development needed. The DO codes follow-up assignments in ECMS made to the RC by utilizing the ‘RC’ code. The CE then selects “Follow-up” from the drop down menu as the reason code. The status effective date is the date of the DO memo to the RC outlining the follow up task.

b. Reworks are not generated out of an issue identified by the DO as an area in need of additional development, but arise when an error is found in the final product from the RC. Interview reworks are only conducted in instances where a deficiency (i.e. incomplete or inaccurate data) is identified by the CE. Reworks must be approved by a Senior CE and are forwarded to the RC manager by the DO DD with an accompanying memo outlining specific instructions as to the deficiency found and the required remedy. If a rework is requested, the DO enters the ‘RC’ code in ECMS and selects ‘Rework’ from the reason code drop down menu. The status effective date is the date of the DO DD’s memo to the RC outlining the rework task.

c. The RC must complete all follow-up and rework assignments from the DO within 7 calendar days of receipt in the RC. If additional time is needed for completion, the RC contacts the DO CE and the CE may grant reasonable time extensions.

13. RC File Retention. Depending upon the circumstances and the necessity for additional follow-up regarding a task described in this chapter the RCs retain or destroy file materials as necessary.

a. Office of Worker Advocacy (OWA) Files. All materials related to old OWA claim files should now be purged from the RCs. There is no need to retain this documentation and the RCs may destroy any OWA materials on hand.

b. Part D Files without EV or OHQ Information. This material will be disseminated from the DOs as necessary based upon DO review and identified assignments to the RC. Any such material on hand at the RC can be destroyed unless it is being used in the process of a DO assignment. Once completion of the assignment is confirmed via the method outlined below, all materials are to be destroyed.

c. New Incoming Cases. In instances where only EV is conducted, the RC destroys case file material upon completion of the EV task and confirmation of receipt of all documents at the DO. Case file materials regarding Part E claims that require an OHQ are retained either until the OHQ process is complete and the DO confirms receipt of the transmitted materials, or in cases where the OHQ can not be conducted as described herein.

d. DO Transmittal. In general, once the DO has received the EV/OHQ and/or all other pertinent documentation required of the RC, the DO checks off each item listed on the transmittal and then faxes the transmittal to the appropriate RC instructing them to destroy their case file materials. Upon receipt of the DO transmittal, all such materials are destroyed. The transmittal may be sent by the District Director (DD) or any individual designated by the DD for such purpose.

14. Document Acquisition Request (DAR). After the RC completes the steps listed above, the case file is submitted to the DO for review and additional medical, employment, survivorship and exposure development as necessary. The DO collection of exposure data is known as a DAR.

a. A DAR response can consist of all or any combination of the following:

1) Radiological Dose Records. These documents are radiation exposure records based on readings from dosimetry badges or similar personal recording devices. They are generally taken at regular intervals over the employee’s employment.

(a) The CE does not request such records when developing a claim for cancer. All radiation exposure information will be obtained by NIOSH.

2) Incident or Accident Reports. Any abnormal incidents or large plant accidental substance releases affecting the employee are documented in these types of documents.

3) Industrial Hygiene or Safety Records. Documents in these categories could contain periodical inspection reports for health and safety reasons.

4) Pay and Salary Records. These documents include an employee’s pay, salary, any workers’ compensation claim or other documents affecting wage. Examples of records from the DOE database could include, but are not limited, to Official Personnel Files of Contractor Employees, Contractor Job Classification, Employee Awards Files, Notification of Personnel Actions, Classification Appraisals, Wage Survey Files, and Unemployment Compensation records. The CE generally does not need these types of documents unless wage loss is either being claimed by the claimant or a wage loss claim is obvious to the CE from the case file material.

5) Job Descriptions. These are descriptions of the various employment positions at the plant and the duties required to perform the job.

6) MMedical Records. Personal medical histories of the employee if that employee visited the plant infirmary (i.e. Health Unit Control Files, Employee Medical Folder, etc.)

7) OOther. This category is reserved for any other documentation necessary on a claim specific basis which does not fit into any of the other six categories. If this category is checked and a specific request listed by the CE, DOE personnel may contact the DOL CE for clarification of the request if necessary.

b. The OWCP District Office is responsible for requesting and collecting this information to assist in the adjudication of claims. Many of these documents can be extremely beneficial to the DO CE during case development.

c. The process for requesting DAR information is completed by the DO CE after the CE completely reviews the case file including the OHQ from the RC and is done concurrently with FWP development. The process for collection of the information differs slightly depending on what agency or corporate entity is receiving the DAR (i.e. DOE, CV). The DAR POC list can be found on the NO shared drive and is broken up into two sections: 1) DOE DAR POC and 2) No known contact. Each DD is responsible for updating and maintaining these records.

1) The DOE DAR POC is similar to the current DOE Operations Center POC’s for employment verification. There are some differences, however, so the CE must use this list when requesting DAR documentation directly from the DOE. A DAR Cover Letter and DAR Questionnaire are only sent to a DOE DAR POC.

2) CV’s may also be queried regarding exposure if there is no DAR POC. The CE uses Employment Verification List 2, found in the Part B PM, Chapter 2-400, and updated on the NO shared drive to find contact information for CV’s which may have potential exposure documentation. Since each CV has not been contacted in advance of this procedure, it is not possible to know what types of documentation each corporation has or even that corporation’s willingness to provide such documentation. The CE may telephone or email the CV to determine if any evidentiary documentation exists which could assist the CE in determining either individual exposures unique to a particular employee or any information regarding the materials and/or toxic substances the corporation may have been working with as a result of the company’s relationship with the DOE or its predecessors. The CE does not include a DAR questionnaire when corresponding with a CV. If the CE obtains information from a CV regarding toxic substances, such information is provided to the National Office (NO) through the DD for inclusion onto the NO shared drive so the information can be made available to the rest of the DEEOIC. CEs must always consult the shared drive prior to contacting a CV for information, as discretion must be used in CV contact so as not to overburden these entities with duplicate requests for information.

3) For sites where there is no known DAR POC the CE ensures there is no CV for the particular facility and undertakes alternate exposure and wage loss development as described in PM E Chapters E-300, E-500, and PM 2-0100. Since no known contact exists, a DAR Questionnaire is not be used.

15. CE Case File Review. The CE reviews the case file before deciding which documentation to request from the DOE on the DAR Questionnaire. The CE considers the following:

a. Review of the case file. In order to decide the type of information to request, the CE thoroughly reviews the case file including the OHQ. Because it is likely the OHQ will contain valuable information regarding the employee’s work history, the CE does not request DAR information prior to a complete review of that document. In addition, DAR documentation may already have been requested by the DOE and be already a part of the case file. In these instances, if the CE can confirm the complete claimed employment, there is no need to request employment verification from the DOE. If additional development is required, the CE must consider the particular details of a given case, including the type of medical condition(s) being claimed and the specific DOE facility. For example, if the claimant alleges specific accidental substance releases the CE may want to request Accident and Incident Reports from the DOE. If the claimant indicates that he or she was seen by the facility infirmary for a particular condition, the CE may ask for any medical records the facility may have regarding that employee.

b. In most instances where the case will be referred to the

National Institute for Occupational Safety and Health (NIOSH) for a radiation dose reconstruction, the CE does not request radiation dose records from the DOE. Since NIOSH requests radiation records themselves, this will lessen the burden on the DOE records personnel.

c. Site Exposure Matrices. Site Exposure Matrices (SEM) for the major DOE facilities are being developed that will assist a CE in evaluating exposure and causation. These matrices will be phased in as they are completed. The matrices will be used in the identification of toxins present at a certain facility or process and assist DEEOIC in establishing a causal link between an employee’s illness, impairment, disease or death and employment at a given facility. The CE will be able to use the information provided in the matrices to formulate a decision regarding causation. See EEOICPA PM E-500.

16. Completion of the DAR. When appropriate, the CE completes a DAR Cover Letter and Questionnaire asking for toxic exposure and wage loss evidence. In some cases, the DOE submits hard copy paper documents if a particular DOE record site does not have the ability to scan and submit documentation digitally on a CD.

a. The package to the DOE POC includes: a cover letter (Exhibit 4) addressed to the DOE POC, DAR Questionnaire (Exhibit 5) appropriately completed by the CE, and copies of the EE-1/EE-2 and EE-3.

1) The CE prints or types the appropriate identifying information of the employee in Blocks 1 and 2 of the DAR. The CE annotates any maiden names the employee may have had in Block 1.

2) The CE indicates the appropriate DOE facility claimed on the EE-3 in Block 3 of the DAR and any employer name information in Block 4. If the claimant indicates on the EE-3 that he or she worked for multiple subcontractors at the same DOE facility, the CE completes a separate DAR Questionnaire for each subcontractor. This process helps distinguish between contractors or subcontractors for which DOE has records and those for which DOE does not have records. Similarly, if the claimant claims multiple DOE sites on the EE-3, the CE completes a separate DAR for each DOE site, as the DAR Point of Contact (POC) may be different.

b. Selecting Broad Categories of Records in Block 5 of the DAR. After a complete review of the case file, the CE requests only the records that are relevant to the case by checking the appropriate box (es) in Block 5, “Types of Records Being Requested.”

c. Block 6 Indicates the Availability of Records from the DOE. The DOE DAR POC completing the form either checks the block “Included on CD” or check the block “Unavailable” depending on whether the DOE has any records related to that particular set of records. “Included on CD” also includes hard copy documentation in the event the DOE facility does not have imaging capability.

d. Requesting Site Specific Information in Block 7. If the CE has a specific question(s) that needs to be addressed which is not covered in the broader categories listed on the DAR request, the CE completes the “Site Specific Exposure Questions” section of the Questionnaire. The CE considers the condition(s) claimed as well as any specific alleged exposures. For example, if the claim is for aplastic anemia, the CE may want to ask DOE if and when arsenic or benzene were used in a particular building at the site during a particular timeframe.

e. DOE Responsibility. When DOE receives the DAR Questionnaire they collect the necessary documents requested in Block 5. The DOE checks the corresponding box in Block 6 immediately to the right of the requested category. Additionally, the DOE will respond to any site-specific exposure questions posed by the CE in Block 8 confirming the exposure, denying the possibility of exposure, or indicating there is insufficient evidence to answer the question accurately. At times, the DOE may attach a piece of evidence to the DAR which particularly answers a site specific question or otherwise clarifies the DOE response to the specific question. In these instances, the DOE also checks the “SUP” or supplemental box signaling the special response.

f. The CE enters the “ES” code in ECMS. Once the package is prepared for shipment, the CE selects the appropriate reason code from the drop down menu that reflects a DAR was sent as well as where it was sent, e.g., “ALD – Albuquerque Operations Office(DAR]”. The ES code is equipped with drop down boxes that include a breakdown of DOE Operations Centers for DAR submissions forwarded to DOE. The CE selects the proper DOE Operations Center from the drop down box menu when submitting the DAR package. The ECMS status effective date of the code is the date reflected on the DAR request form.

17. Follow-up with the DOE. There may be instances where DOE does not respond to the first request from either the RC initial employment verification request or the DAR questionnaire. In these cases, the CE contacts the DOE to ascertain the status of the request.

a. 30-Day Time Frame: The DOE is given 30 days to respond to the request (EE-5 or DAR). If the DOE fails to respond within the initial 30-day period, the CE drafts a letter to the DOE inquiring about the previous request. In the letter, the CE advises the DOE regarding the date the initial request was submitted and asks the DOE to respond as soon as possible. The CE provides his or her contact information so that the DOE can quickly respond to the inquiry. If DOE is ultimately unable to verify employment after the second 30 day period, it may be necessary to utilize other procedures as outlined in PM 2-400(4). For DAR second requests, the CE makes a copy of the original DAR Questionnaire and indicates on the cover letter that this is a second request. A “DE” status code with the reason code “DAR-Document Acquisitions Request” is entered into ECMS.

18. No Response from DOE. If the CE does not receive a response from DOE after the second written request, additional development will be necessary. In addition to the PM, please refer to EEOICPA Bulletin 04-06 regarding employment verification.

19. DOE DAR Response. When a DAR response is received from DOE, the CE enters an “ER” code into ECMS. The CE selects the appropriate reason code from the drop down menu (described above), [i.e. “ALD – Albuquerque Operations Office (DAR)”] to indicate that the DAR response was received and to denote which DOE Operations Center responded. The ECMS status effective date is the date of receipt in the DO, which is the date the DAR response is date-stamped in the DO. The CE must review the information to determine the next appropriate case action.

a. Review of the DAR Questionnaire and CD: Once the DAR response is received, the CE carefully reviews both the questionnaire and the contents of the CD to confirm that all requested documents have been received and that the specific questions regarding exposure have been adequately answered. Any documents identified on the CD as material to the claim must be printed and placed in the case file.

b. Although only relevant documents should be printed from the CD to the case file, when the case is referred to NIOSH, the CE copies the entire DAR CD and provides it to NIOSH as part of the referral.

20. DOE Employment Response. When DOE provides a response to the EE-5, the CE enters an “ER” code into ECMS. The CE selects the appropriate reason code from the drop down menu described above, e.g., “AL5 – Albuquerque Operations Office (EE-5),” to indicate that the EE-5 response was received and to denote which DOE Operations Center responded. The ECMS status effective date is the date of receipt in the DO, which is the date the DOE EE-5 response is date-stamped in the DO.

a. If DOE concurs with the location and period of employment identified by the claimant, the CE accepts the EE-5 as proof of employment. However, the CE must still make a separate finding as to whether or not the totality of the evidence demonstrates covered employment in accordance with already established policy.

b. If the DOE does not confirm the complete claimed employment period, the CE reviews the DOE response for any evidence of additional employment overlooked by the DOE. If there still is insufficient evidence to confirm the entire claimed employment period, the CE advises the claimant of the discrepancy and provides him/her with a 30 day opportunity to submit additional evidence which supports the claimed employment as discussed in PM 2-0400.

21. Establishing DOE Remediation Employment. Some Designated AWE/BV facilities are identified as DOE facilities during remediation. Remediation is a term used to describe environmental clean-up operations at a particular facility. During the time in which DOE conducts remediation, that facility is considered a DOE facility. This is particularly important under Part E, because certain AWE/BV employees could potentially claim benefits under Part E as DOE employees during a time in which the facility at which they were employed was considered a DOE facility during remediation. If such claims arise, the CE evaluates the employment evidence carefully, as a contractual relationship between the employee’s employer and DOE must be established in order to support a finding of covered Part E employment. The evidence must support that the employee worked for the contractor conducting remediation activities. Work performed for the AWE/BV facility does not automatically constitute DOE employment, even if the dates of such employment coincide precisely with the DOE remediation dates, and the CE must evaluate the contractual evidence at hand to determine eligibility.

a. Contract with DOE. Given that Part E provides coverage for DOE contractor/subcontractor employees and their eligible survivors, a claimant alleging DOE contractor/subcontractor employment due to remediation must meet the burden of proving that a contract/subcontract in fact did exist between the claimed employer and DOE/DOE contractor to conduct remediation activities for DOE at the facility in question during the time in which DOE was conducting remediation. Evidence of employment at the site during the remediation period absent the existence of a contract/subcontract to conduct specific remediation for DOE is not covered Part E employment. Please see EEOICPA Bulletin 03-27 for precise definitions of contractual terms and guidance as to establishing subcontractor employment.

22. ECMS Data Entry. Data entry for actions taken during the employment verification process will remain unchanged from the ECMS PM 2-1500 except as discussed throughout this document and for the following:

a. For B only cases. All worksite information (claimed/verified/non-verified) is entered directly into ECMS B.

b. For E only cases. All worksite information (claimed/verified/non-verified) is entered directly into ECMS E.

c. For EB cases, in which the claim form was received after October 27, 2004, all worksite information is shared between both ECMS B and E and can be entered from either system. The CE enters the worksite information in either ECMS B or E; the first column for each line item indicates which ECMS system the data was entered. Since the employment is developed simultaneously for the E and B portion of the claim, the point of entry can be from either system, as long as all worksites claimed as verified or non-verified are represented in the worksite section.

d. For B/E cases, in which the old Part D claim was received before October 28, 2004, all of the worksite information used must be entered into ECMS B and E. Even if any or all of the worksite information already exists in ECMS B, it must be re-entered into ECMS E. If there is any new information claimed under part E, either from the claim form or during E development, any additional worksite information must be entered into BOTH ECMS B and E.