EEOICPA
BULLETIN NO. 02-12
Issue
Date:
___________________________________________________________
Effective
Date:
___________________________________________________________
Expiration
Date:
___________________________________________________________
Subject:
Compensation Payment Process
Background:
Between August 2001 and March 2002, lump sum payments were processed by
staff at the National Office and issued to claimants through the Electronic
Certification System (ECS) at the National Office. During the week of
Reference:
20 CFR 30.0.
Purpose:
To provide procedures to District Office personnel with respect to the
compensation payment process.
Actions:
1. When a
final decision is issued by the Final Adjudication Branch (FAB) notifying a
claimant that s/he is entitled to compensation, FAB enters the AOP (Acceptance
of Payment) Sent Date (the date of the acceptance of payment letter to the
claimant) in ECMS and sends the letter EE-20 with enclosure, form EN-20, to the
claimant for completion. All completed
EN-20 forms are received and date stamped in the District Office mailroom. They are then distributed to the claims
examiner (CE) or the payee change assistant (PCA) based on the method of
payment requested by the claimant. If payment is requested by EFT, the PCA is
given the form EN-20. S/he enters the
AOP Received Date (the date EN-20 was received back from the claimant), the AOP
amount, and EFT data on the ECMS payee screen.
The PCA then forwards the EN–20 to the CE. If payment is requested by
paper check, the CE is given the form EN-20.
S/he enters the AOP Received Date and AOP Amount on the ECMS payee screen.
2. The CE ensures that the claimant (or an
authorized representative with an appropriate Power of Attorney) signed the
form EN-20. The CE pays particular
attention to whether the payment is to be issued to the claimant or to his/her
authorized representative with Power of Attorney. In order for a compensation payment to be
made out to an authorized representative with Power of Attorney, the file must
contain evidence that the Power of Attorney document was reviewed by the DOL’s
Office of the Solicitor and any deficiencies in the document were corrected
prior to creating a compensation payment.
3. The CE is responsible for taking any
follow-up action on a deficient form EN-20.
If the EN-20 is not signed, the CE makes a copy for the case file and
returns the original to the claimant for signature. If the EN-20 has crossouts,
erasures, or clarification is needed (e.g., on a bank routing number and/or
account number) the CE contacts the bank and/or the claimant (preferably by
phone) for clarification. Telephone
calls must be documented for the case file. Clarification from either the
claimant or bank must be in writing and must be dated and signed. After
clarification
is received, the CE attaches the letter of clarification to the original form
EN-20 and forwards both documents to the PCA who enters the correct EFT data
into ECMS. The CE, at his/her
discretion, may request that a new form EN-20 be completed before a payment is
created.
Faxed EN-20
forms will not be accepted nor will faxed EFT clarifications. If the EN-20 has
an incorrect bank routing number, the CE can obtain the correct routing number
by using the Federal Reserve Financial Services Internet web site
(http://www.fededirectory.frb.org)
4. The CE reviews the claimant’s address as
reported in the Corrections Section and the Certification Section of the form
EN-20 by matching each address: a) to the address on the EE-1/EE-2 or to the
most recent change of address in the case, and b) to the on-line address for
the case. If the claimant provides an address in the Corrections Section
and/or the Certification Section of the EN-20 which is different from the
address of record, the CE should contact the claimant (preferably by phone) to
verify if the change of address is permanent or only a temporary payment
address. The CE should document the
content of the telephone call for the case file. If a permanent change of address has
been reported and if payment is to be made by paper check, the change of
address must be processed by the PCA prior to the CE creating the payment. If the change of address is a payment
only, temporary address and the claimant has requested a paper check, the
CE should advise the claimant that s/he must submit a brief written statement
concerning the address change for the case file. (Faxes will not be
accepted.) The statement must be in the
case file prior to creating the payment.
After receiving confirmation from the claimant that s/he wants the paper
check to go to a temporary address, the CE enters the payment only address into
the ECMS compensation screen when s/he creates the payment. If payment is to be
made by EFT and there is a permanent change of address, the CE should flag the
case file for later follow up. To avoid
delays in making the payment, the EFT compensation transaction should be
completed prior to processing the change of address.
Note: International EFTs are
not allowed as they are not part of the U.S. Treasury Bank/Routing system. A claimant living outside of the
5. Before creating the payment in ECMS, the CE
completes the Payment Transaction Form (PTF) using information found on the
form EN-20 or in the case file. A separate PTF must be completed for each payee
receiving compensation. The PTF is electronically
accessible. (Attachment 3 is a copy of the PTF that should be used in each
DO.) The CE must be careful in entering
the employee, payee, and payment information on the PTF as it is the source
document for each payment. The PTF must
reflect either a paper check address or an EFT bank routing
number, account number, and account type.
In addition, the PTF cannot contain any cross-outs, whiteouts, or
erasures. The document must be error
free.
6. After the PTF is completed, the CE creates
the payment. The CE creates a separate
compensation payment transaction for each payee. The required on-line data entered by the CE
includes:
EFT
PAPER CHECK
·
Employee
and payee SSN(s)
·
payee’s
mailing address, but only
if it is a temporary payment
address.
(If paper
check is going
to payee’s permanent address, never
enter it as ECMS automatically
defaults to it)
·
bank
routing number (must
be nine
characters, all numeric with no
embedded spaces, dashes, or
special characters)
·
payee’s
savings or checking account
number
(no dashes or spaces allowed)
EFT
PAPER CHECK
·
payee’s
account type (savings or
checking)
·
amount
of payment
Note: Payments keyed for more
than $150,000
on an individual non-RECA case and more
than
$50,000 on an individual RECA case will
reject.
In addition, a compensation transaction
cannot
be completed without each payee’s
social
security number.
7. If payment for a minor child is to be made
through EFT, the compensation should be deposited into the parent’s or legal
guardian’s bank account. If payment is
to be made through paper check, it should be made out in care of the parent or
legal guardian. For example, a paper
check would be keyed onto the address field in ECMS as follows:
Marian
Smith
For
John Smith, Jr.
8. Once the payment data has been created on the
ECMS compensation screen, the CE clicks
the SAVE button and the compensation transaction is saved. The CE’s name (based on user ID) and the
transaction date automatically appear on the compensation screen. The
CE signs and dates the PTF in the Approvals Section, (Item #1 – Creation). The CE changes the case file location in ECMS
to the Senior or Supervisory CE location (DO discretion) and forwards the hard
copy case file with the PTF(s) to the Senior or Supervisory CE’s location for
certification of the payment.
9. The Supervisory or Senior CE compares the
information recorded on the PTF (employee’s social security number; in a
survivor’s claim, the payee’s social security number; the payment amount; and
the information required for EFT or a paper check) with documents (EE-1, EE-2,
EN-20) in the case file to ensure the PTF is correct. S/he then compares the information recorded
on the PTF with the data entered into ECMS to ensure the on-line data is
correct. If the Supervisory or Senior CE
determines that an error exists, s/he clicks the REJECT button on the ECMS
certify screen.
This clears
the CE’s user ID and creation data from the transaction. The Supervisory or Senior CE indicates in the
Transaction Cancelled section of the PTF the reason the compensation
transaction was cancelled. Corrections
must not be made to the PTF or to the on-line data by the certifier. The case file and the PTF are returned to the
CE for corrections. The CE starts again by completing a new PTF, entering the
on-line data as necessary, and forwarding the case to the Supervisory or Senior
CE for certification. All PTFs are
maintained as part of the case file.
10. When the Supervisory or Senior CE is satisfied
that the PTF information and on-line data are correct, s/he clicks the CERTIFY button in ECMS. His/her name (based on user ID) and the
certification date appear on the compensation screen. The
Supervisory or Senior CE signs and dates the PTF in the Approvals
Section, (Item #2 - Certification). The Supervisory or Senior CE
changes the case file location in ECMS and forwards the hard copy case with the
PTFs to the Fiscal Officer’s location for verification of the payment.
Note: When the payment is
certified, the record is automatically locked by ECMS and no changes can be
made to the record in its locked status.
However, if an error is detected after the payment is certified and
locked, the record can be unlocked by the certifier. (ECMS also allows the
record to be unlocked by the Chief of Operations, Fiscal Officer, or District
Director.) Unlocking the record erases
the created and certified statuses on the compensation screen. ECMS automatically returns the record to the
CE. The certifier returns the hard copy
case file and PTF to the CE. The CE will
access the unlocked record and correct whatever error was made.
11. The Fiscal Officer ensures that data from the
PTF has been correctly entered into the ECMS compensation screen. It is not the Fiscal Officer’s responsibility
to review the
PTF for
accuracy. The Fiscal Officer only
compares the information on the PTF with the information that has been entered
into ECMS. If an error is detected, the
Fiscal Officer hits the CANCEL button.
The CANCEL button leaves everything “as is.” The Fiscal Officer then unlocks the
transaction by selecting UNLOCK Transaction from the ECMS compensation menu,
highlighting the record in the list of payments which are locked, and clicking
the UNLOCK button. This places the ECMS
record back in posture for the CE to
correct the payment. The Fiscal
Officer is prohibited from making corrections to the PTF or to the on-line
data. S/he should indicate in the
Transaction Cancelled section of the PTF the reason the transaction was
cancelled. The hard copy of the case
file and the PTF are returned to the CE for corrective action. The CE starts again by completing a new PTF,
entering the corrected on-line data in ECMS, and forwarding the case and PTF to
the Supervisory or Senior CE for certification and then to the Fiscal Officer
for verification of the corrected payment.
12. When the Fiscal Officer is satisfied that the
PTF and on-line data in ECMS are correct, the Fiscal Officer clicks the VERIFY
button. His/her name (based on user ID)
and the verification date appear on the compensation screen. Once the payment
is verified in ECMS, the payment is placed in a verified status and remains
locked. The Fiscal Officer signs and dates the PTF in the Approvals Section,
(Item #3- Verification). The Fiscal Officer changes the case file
location in ECMS to the District Director’s location and forwards the hard copy
case file with the PTF(s) to the District Director for authorization of the
payment.
Note: If an error is detected
after the payment is verified, only the Fiscal Officer, Chief of Operations, or
District Director can unlock the record.
Unlocking the record erases the created, certified, and verified statuses
on the compensation screen. The ECMS
record is automatically returned to the CE. The Fiscal Officer returns the hard
copy case file and PTF to the CE for corrective action.
13. The District Director compares the information
recorded on the PTF (employee’s social security number; in a survivor’s claim,
the payee’s social security number; the payment amount; and the information
required for EFT or a paper check) with documents (EE-1, EE-2, EN-20) in the
case file to ensure the PTF is correct.
The District Director compares the PTF with the on-line ECMS data to
ensure the on-line data is correct. If an error is detected, the District
Director hits the CANCEL button. The
CANCEL button leaves everything “as is.”
The District Director then unlocks the transaction by selecting UNLOCK Transaction
from the ECMS compensation menu, highlighting the record in the list of
payments which are locked, and clicking the UNLOCK button. This places the ECMS
record back in posture for the CE to correct the payment. The District Director
is prohibited from making changes to the PTF or to the ECMS on-line data. The District Director indicates in the
Transaction Cancelled section of the PTF the reason the compensation transaction was
cancelled. The hard copy case file and
PTF are returned to the CE for corrective actions. The CE creates the amended payment in
ECMS. The payment will also be certified
and verified before it is returned to the District Director for authorization.
14. When the District Director is satisfied that
the PTF information and on-line data are correct, the District Director clicks
the AUTHORIZE button. His/her name
(based
on user ID)
and the authorization date appear on the compensation screen. The payment is then ready for transmission to
the Department of the Treasury. The District Director signs and dates
the PTF in the Approvals Section, (item # 4 - Authorization).
Note: If an error is detected
after the payment is authorized but not transmitted to the Department of
the Treasury, only the District Director can unlock the record from its
authorized status. If unlocked, the
created, certified, verified, and authorized statuses are erased on the
compensation screen, and the ECMS record is automatically returned to the
CE. The District Director returns the
hard copy case file and PTF to the CE for corrective actions. The CE creates the amended payment in ECMS. The payment is certified and verified before
it is returned to the District Director for authorization.
15. If it is
determined by the DO that a payment should not be released (e.g. the payee
died) the payment transaction can be deleted.
Payment transactions that have not been transmitted to the Department of
the Treasury are deleted by clicking the DELETE ICON (-) on the Compensation
Payment Update screen. The Fiscal
Officer and District Director can delete compensation payments in their own DO.
16. After the payment has been transmitted, the
District Director or Fiscal Officer (DO discretion) ensures that the PTF used
to create the payment is photocopied and placed in the case file. The original PTF is retained in a folder
secured by lock and key. These copies of
PTFs should be filed chronologically oldest to most current.
17. The District Director or Fiscal Officer
releases the case file to FILES and changes the case file location in ECMS.
18. Each week the Fiscal Officer takes all the
PTFs completed for the week and prints a benefits transaction report. The report consists of a separate page for
each
case in which
a compensation transaction was created.
The report identifies the payee, where the payment was sent, and the
amount of the payment. The Fiscal
Officer compares each page of the report to the corresponding PTFs to ensure
the compensation transaction was made in accordance with the information
approved on the PTF. Each page from the
benefits
transaction report is attached to the corresponding PTF. The documentation is then filed by the Fiscal
Officer or District Director (at DO discretion) to ensure an accurate log of
payments is maintained. A copy of the
benefit transaction report, by case number, can be copied for individual case
files.
19. When an
EFT deposit or paper check is returned to the Treasury Department by the bank
or post office, the
Treasury
Department notifies the National Office.
The NO Fiscal Officer, in turn, contacts the DO to report non-receipt of
the issued payment by the claimant. If
the claimant’s address or EFT data has changed, the claimant must complete a
new EN-20 before compensation is reissued.
20. If the creator, certifier, verifier, or
authorizer is not available to perform his/her payment function, backups can be
used.
·
Any
CE, Senior CE, or Supervisory CE can create the payment.
·
Any
Supervisory or Senior CE in the DO can certify
the payment as long as s/he did not create the
payment.
·
The
District Director should be notified when the Fiscal Officer is unavailable to
verify payments. Either the District
Director or Chief of Operations can, in the Fiscal Officer’s absence, verify
payments. However, ECMS will not allow
him/her to authorize the same payment.
·
The
National Office must be advised when the District Director is unavailable to
authorize payments. ECMS will be
adjusted so that payments can be authorized on a temporary basis by either the
Chief of Operations or the Regional Director.
·
For
security reasons, absolute separation of PCA, CE, certifier, verifier, and
authorizer must be maintained.
Disposition:
Retain until incorporated in the EEOICPA Procedure Manual.
PETER M.
TURCIC
Director,
Division of Energy Employees
Occupational
Illness Compensation
Distribution
List No. 1: (Claims Examiners, Supervisory Claims Examiners, Technical
Assistants, Customer Service Representatives, Fiscal Officers, FAB District
Managers, Operation Chiefs, Hearing Representatives, District Office Mail &
File Sections.
PAYMENT
TRANSACTION FORM
CASE FILE
INFORMATION
Last First MI
PAYMENT
ADDRESS – To
be completed for Paper Checks ONLY
Is this a PAYMENT ONLY address? YES NO
LINE 1 ____________________________________________________________
LINE 3 ____________________________________________________________
CITY STATE ZIP
EFT BANK ROUTING #: _____________________________________________
EFT ACCOUNT TYPE: CHECKING
SAVINGS
CERTIFICATION
APPROVALS
|
PRINT NAME
|
SIGNATURE
|
DATE |
|
1. Set
Up/CE |
|
|
|
|
2.
Certification/SCE |
|
|
|
|
3.
Verification/FO |
|
|
|
|
4.
Authorization/DD |
|
|
|
TRANSACTION CANCELLED: YES
CANCELLED
BY: ______________________________________________________
REASON: _____________________________________________________________