ESA Proposed Rule

Use and Disclosure of Federal Employees' Compensation Act Claims File Material [07/28/1997]

Volume 62, Number 144, Page 40418-40419

[DOCID:fr28jy97-32]

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DEPARTMENT OF LABOR

Office of Workers' Compensation Programs

20 CFR Part 10

RIN 1215-AB18

 
Use and Disclosure of Federal Employees' Compensation Act Claims 
File Material

AGENCY: Employment Standards Administration, Office of Workers' 
Compensation Programs, Labor.

ACTION: Notice of proposed rulemaking and request for comments.

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SUMMARY: The Department of Labor's Office of Worker' Compensation 
Programs (OWCP), is proposing to revise the regulations regulating the 
release, use, and disclosure of documents relating to claims filed 
under the Federal Employees' Compensation Act (FECA). More 
specifically, the Department is also revising its regulation to reserve 
to the OWCP the exclusive authority for ruling on requests submitted by 
the subject of the FECA file for the correction or amendment of any 
record contained in such file.

DATES: Written comments must be submitted on or before September 26, 
1997.

ADDRESSES: Send written comments to Thomas M. Markey, Director for 
Federal Employees' Compensation, Employment Standard Administration, 
U.S. Department of Labor, Room S-3229, 200 Constitution Avenue, NW., 
Washington, DC 20210-0002. Telephone: (202) 219-7552.

FOR FURTHER INFORMATION CONTACT: Thomas M. Markey at the address and 
telephone number listed above.

SUPPLEMENTARY INFORMATION: All claim forms, medical and other reports, 
witness statements, and any other documents relating to claims filed by 
injured workers or their survivors under the Federal Employees' 
Compensation Act (FECA), 5 U.S.C. 8101 et seq., including copies of any 
such documents retained by the employing agencies, are official records 
of the OWCP. Further, all FECA-related documents, whether they are 
contained in claim files maintained by OWCP, or are copies

[[Page 40419]]

maintained by the injured worker's employing agency, are covered by the 
Privacy Act of 1974 and the government-wide Privacy Act system of 
records entitled DOL/GOVT-1 (Office of Workers' Compensation Programs, 
Federal Employees' Compensation Act File). DOL/GOVT-1 was last 
published in the Federal Register at 58 FR 49556 (September 23, 1993). 
That system is maintained by, and is under the full control of OWCP, 
even though custody of copies of such records may be at the employing 
agency.
    The Department is proposing to revise Sec. 10.12 part 10 to clarify 
the provisions relating to the processing and handling of requests for 
copies of documents covered by DOL/GOVT-1. Although employing agencies 
continue to be authorized to respond to requests for copies of FECA-
related documents in their custody, the proposed regulations would 
reserve to OWCP the exclusive authority for ruling on requests for the 
correction of, or amendment to document covered by DOL/GOVT-1. Further, 
all appeals from the denial of access to records, as well as denials of 
requests for the correction or amendment of documents, shall be filed 
with the Solicitor of Labor.

Procedural Matters

    The proposed rule does not constitute a significant regulatory 
action within the meaning of Executive Order 12866 of September 30, 
1993 (58 FR 51735). Further, this proposed rule will have no 
significant impact or other substantial effect on small entities. 
Accordingly, the requirements of the Regulatory Flexibility Act (5 
U.S.C. 605(b)) do not apply. The Assistant Secretary has so certified 
to the Chief Counsel for Advocacy for the Small Business 
Administration.

Paperwork Reduction Act

    The proposed rule is not subject to the Paperwork Reduction Act 
since it does not contain a collection of information requirement.

List of Subjects in 20 CFR Part 10

    Claims, Government employees, Labor, Workers' Compensation.

    For the reasons set forth in the preamble, it is proposed that part 
10 of Chapter 1 of title 20 of the Code of Federal Regulations be 
amended as follows:

PART 10--CLAIMS FOR COMPENSATION UNDER THE FEDERAL EMPLOYEES' 
COMPENSATION ACT, AS AMENDED

    1. The authority citation for part 10 is revised to read as 
follows:

    Authority: 5 U.S.C. 301; Reorganization Plan No. 6 of 1950, 15 
FR 3174,64 Stat. 1263; 5 U.S.C. 8149; Secretary's Order 5-96, 62 FR 
107.

    2. Section 10.12 is revised to read as follows:


Sec. 10.12  Protection, release, inspection and copying of records.

    (a) All records relating to claims for benefits filed under the 
Act, including any copies of such records maintained by an employing 
agency, are covered by the government-wide Privacy Act system of 
records entitled DOL/GOVT-1 (Office of Workers' Compensation Programs, 
Federal Employees' Compensation Act File). This system of records is 
maintained by and under the control of the Office, and, as such, all 
records covered by DOL/GOVT-1 are official records of the Office. The 
protection, release, inspection and copying of records covered by DOL/
GOVT-1 shall be accomplished in accordance with the rules, guidelines 
and provisions of this part, as well as those contained in 29 CFR parts 
70 and 71, and with the notice of the system of records and routine 
uses published in the Federal Register. All questions relating to 
access/disclosure, and/or amendment of FECA records maintained by the 
Office or the employing agency, are to be resolved in accordance with 
this section.
    (b)(1) While an employing agency may establish procedures that an 
injured employee or beneficiary should follow in requesting access to 
documents it maintains, any decision issued in response to such a 
request must comply with the rules and regulations of the Department of 
Labor which govern all other aspects of safeguarding these records.
    (2) No employing agency has the authority to issue determinations 
with respect to requests for the correction or amendment of records 
contain in or covered by DOL/GOVT-1. That authority is within the 
exclusive control of the Office. Thus, any request for correction or 
amendment received by an employing agency must be referred to the 
Office of review and decision.
    (3) Any administrative appeal taken from a denial issued by the 
employing agency or the Office shall be filed with the Solicitor of 
Labor in accordance with 29 CFR 71.7 and 71.9.

    Signed at Washington, DC, this 17th day of July, 1997.
Bernard E. Anderson,
Assistant Secretary for Employment Standards.
Shelby Hallmark,
Acting Director, Office of Workers' Compensation Programs.
[FR Doc. 97-19475 Filed 7-25-97; 8:45 am]
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