Procedural
Requirements
Effective Date: March 16, 2023
Expiration Date: March 16, 2028
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NASA Procedural Requirements |
NPR 1800.1E Effective Date: March 16, 2023 Expiration Date: March 16, 2028 |
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6.1.1 The DOL Director and DOL’s Office of Workers’ Compensation Programs (OWCP) administer the WC program under the FECA. The DOL has the exclusive authority to interpret and enforce FECA provisions.
6.1.2 FECA provides compensation benefits to civil service employees because of personal injury, exposure, or disease sustained while in the performance of duty. Types of benefits available include compensation for wage loss, schedule awards, medical and related benefits, and vocational rehabilitation. NASA Non-Appropriated Fund (NAF) employees may also be eligible for FWC benefits. FECA also provides for the payment of benefits to civil service employee dependents if a work-related injury or disease causes a civil service employee’s death.
6.1.3 FECA is remedial in nature, and proceedings under it are non-adversarial. FECA is the exclusive remedy for civil service employees’ work-related injuries, illnesses, or deaths, see Limitations on Right to Receive Compensation, 5 U.S.C. § 8116.
6.1.4 NASA assists civil service employees on behalf of DOL and will comply with employer responsibilities per Claims for Compensation under the Federal Employees’ Compensation Act, as amended, 20 CFR pt. 10.
6.2.1 Civil service employees shall immediately report to their supervisors any work-related incidents that may have caused an injury, exposure, or illness for potential entry into the NASA Mishap Information System.
6.2.2 Civil service employees have a right, but are not required, to file FWC claims if they sustain an injury or illness while in the performance of duty. The decision to file a claim is strictly up to the employee.
6.2.3 Civil service employees will never be asked to enter into any agreement (oral or written), either before or after an injury, exposure, or illness, that waives their right to claim compensation under the FECA. No waiver of compensation rights is valid.
6.2.4 NASA will never prevent civil service employees from filing claims under any circumstances, nor give civil service employees the impression, directly or indirectly, that the Agency has the authority or ability to adjudicate a claim.
6.2.5 NASA will never suggest or recommend to a civil service employee that they not file a claim, regardless of the nature of the injury or accident, circumstances, or perceived validity of the claim. NASA may provide evidence (witness statements, photographs, copies of investigative reports, medical reports) to OWCP to support DOL’s adjudication of a claim and/or if NASA questions a claim's validity.
6.2.6 Claimants may submit as much or as little documentation to DOL, along with the required forms. DOL adjudicates claims based on documentation received from the claimant as well as any from NASA. The lack of documentation will not delay NASA supervisor signatures or NASA’s electronic submittal of claim form on behalf of the claimant. Supporting documentation may be submitted to the DOL electronically or in hard copy concurrently or after the initial claim form is completed, signed, and transmitted.
In accordance with Presidential Orders (e.g., Protecting Employees, Enabling Reemployment Initiative; and Safety, Health and Return-to-Employment) and other similar Federal mandates/orders/initiatives, Centers shall make focused efforts to improve, expand, and increase successful return-to-work outcomes for civil service employees who sustain work-related injuries and illnesses covered by FECA. This is accomplished by increasing the availability of job accommodations and light- or limited-duty jobs, removing disincentives for civil service employees to return to work, and pursuing ways to foster improved return to work outcomes.
6.4.1 The OCHMO shall:
a. Designate an Agency FWC Manager in support of the Agency FWC program. Duties include serving as the DOL Agency Maintenance User who supports NASA Employees’ Compensation Operations and Management Portal (ECOMP) user accounts, password resets, and other similar activities.
b. Approve the Memorandum of Understanding between the OWCP Division of Federal Employees’, Longshore and Harbor Workers’ Compensation (DFELHWC) and NASA for access to DOL’s FWC case file database, including but not limited to, ECOMP and the Agency Query System.
c. Ensure OH reviews of the FWC case management at the Johnson Space Center (JSC) for astronaut claims and the NSSC for all other NASA claims are conducted.
d. Ensure civil service employees are assisted with timely submittal of claims to DOL.
e. Ensure Agency employees who handle FWC claims (NASA injury claim specialists) are adequately trained.
6.4.2 FWC case management functions are primarily handled at the NSSC. JSC handles case management functions for astronaut claims. Case management encompasses the process of following a FWC claim from its inception to its closure. This is done by ensuring the Agency is doing everything possible to return injured employees to work, by conducting due diligence in reviewing the accuracy of case costs and related information, and by assisting injured employees and survivors file forms and navigate through DOL procedures. JSC and the NSSC, where ICSs are based, shall conduct case management activities, including:
(1) Assisting employees with their submission of claims, including submittal to OWCP of all relevant and probative factual and medical evidence in its possession.
(2) Ensuring facts surrounding each injury and illness are adequately investigated to determine the validity of claims.
(3) Obtaining medical status information from OWCP or injured civil service employees as often as necessary, within OPM and OWCP regulations.
(4) Assessing civil service employees potential return to regular, light, or limited duty and advise civil service employees’ physicians of any light-duty assignments or modified positions available.
(5) Monitoring individual claim chargeback billings (e.g., prescription charges and medical bills) to ensure accuracy.
(6) Staying in contact with injured civil service employees while they are receiving compensation.
(7) Establishing organized recordkeeping systems to maintain copies of claim forms, medical reports, correspondence, and other compensation claim-related materials on behalf of the DOL and in accordance with DOL requirements.
6.4.3 The Agency FWC Manager shall:
a. Develop NASA policies, procedures, and guidance regarding compliance with DOL laws, regulations, policies, and procedures.
b. Serve as NASA's primary liaison with the DOL and OWCP.
c. Assign ICS level of access to DOL databases and systems (e.g., ECOMP).
d. Provide Agency work-related injury and illness analytical data to the OCHMO and other NASA FWC stakeholders.
e. Provide the general status of FWC active cases, chargeback incurred, and/or observed injury/illness trends to Center Directors and other Center management, when requested.
f. Communicate changes in OWCP requirements, procedures, and guidelines to appropriate FWC stakeholders Agency wide.
g. Provide training to ICSs on specific information and processes used for FWC case management and electronic systems.
h. Notify OWCP of errors in chargeback billing.
i. Establish internal requirements for the Agency FWC program.
j. Transmit additional information to ICSs regarding illness and injury reports received from Safety.
k. Participate in periodic training and/or attend FWC-specific meetings to remain current on DOL policies, regulations, and initiatives.
l. Periodically review the DOL OWCP website to identify new regulations, requirements, training opportunities, and revisions to Agency reference documents.
m. Conduct periodic meetings with ICSs, and clinic and safety representatives to discuss issues, concerns, new processes and procedures, and requirements by DOL OWCP.
n. Ensure a process is in place to assist civil service employees in the event of a shutdown, furlough, or weather-related event that may cause an interruption of service at the NSSC or JSC.
o. Coordinate with Office of Inspector General representatives whenever a FWC case should be investigated for potential fraud, waste, or abuse.
6.4.4 The NSSC shall ensure there are adequate NASA ICSs, who may be civil service employees or contractors, to conduct FWC case management, except for astronaut cases, which are handled by the JSC.
6.4.5 The NSSC ICS shall on a case-by-case basis:
a. Assist civil service employees who have received collection notices for DOL's non-payment of medical bills to determine whether incorrect medical provider coding is the cause.
b. If requested by an injured civil service employee and the information is available, assist in finding medical providers known to accept FWC cases.
c. Ask the injured civil service employee if they contacted NASA's medical evacuation vendor to render medical assistance and/or transportation when the employee became ill or injured while on OCONUS travel status.
6.4.6 The JSC shall ensure there are adequate NASA ICSs, who may be civil service employees or contractors, to manage astronaut FWC cases
6.4.7 The NSSC and JSC ICSs shall:
a. Assist civil service employees and supervisors with claim paperwork (e.g., OWCP CA-1, Federal Notice of Traumatic Injury and Claim for Continuation of Pay/Compensation, OWCP CA-2, Notice of Occupational Disease and Claim for Compensation, OWCP CA-7, Claim for Compensation, and OWCP CA-16, Authorization of Examination and/or Treatment) in accordance with OWCP-mandated timeliness, procedures, and methods.
b. Take initial and periodic refresher training administered by an OWCP district office or equivalent.
c. Proficiently use DOL electronic web-based systems (e.g., ECOMP) to complete, submit, and review civil service employee claims, in accordance with DOL’s confidentiality, security, and privacy rules/regulations.
d. Coordinate and communicate regularly with the Agency FWC Manager.
e. Calculate, track, evaluate, authorize, and monitor injured civil service employees leave usage and provide guidance and counseling on leave options.
f. Track and reconcile FWC case continuation of pay hours, costs, and compensation and medical costs.
g. Ensure privacy of FWC records by complying with DOL/GOVT-1, Office of Workers' Compensation Programs, Federal Employees' Compensation Act File.
h. Establish a FWC case file management system and standard case folder structure to ensure consistency in documentation and records retention.
i. Evaluate and review claimant work capacity documentation and ensure necessary employee actions, job duties, light-duty work assignments, and permanent job offer processes are completed when necessary.
j. Inform Center supervisors and civil service employees about their responsibilities and rights concerning on-the-job injuries and illnesses, which may be accomplished through new employee orientations, descriptions in employee handbooks, web-based training classes, and similar methods.
k. Support and maintain communication with civil service employees, supervisors, and clinic representatives throughout the FWC process, including monitoring appropriateness and effectiveness of medical care being provided, assessing civil service employee compliance with treatment recommendations, and facilitating civil service employees’ return-to-work within medical limitations.
l. Review and analyze quarterly DOL chargeback reports to identify program areas for improvements and taking action to improve cost containment, note errors, and issues that require further research and reporting them to the Agency FWC Manager as soon as possible.
m. Request, if warranted, the OWCP claims examiner consider mandating a second opinion medical exam or referee medical exam and reviewing the results.
n. Review case documents for discrepancies or flagging information that seems inappropriate and notify the Agency FWC Manager about those concerns.
o. Review active cases periodically to determine whether civil service employees’ or survivors' status has changed due to death, return to work (limited or full-time), or a change in medical status.
p. Recommend to the Agency FWC Manager cases that warrant further review by the OIG.
q. Identify and communicate to the Agency FWC Manager issues that appear to be impeding the ability to return a civil service employee to work, the ability to obtain a supervisor's signature on a claim form, the ability to obtain medical authorization for a civil service employee’s treatment, and other situations that could impact assistance to the civil service employees in obtaining treatment or the timeliness of filing a claim to the DOL.
r. Ensure the Agency FWC Manager is aware of the ICS's communications with the DOL (aside from routine communications with claims examiners).
s. Emphasize and communicate to injured civil service employee medical providers the availability of NASA’s modified work positions and/or telework opportunities.
t. Consult online DOL procedures manuals, FECA Bulletins, procedures, and guidance to research answers to case management questions.
u. Complete Agency FWC Manager requests for new case information.
v. Authorize continuation of pay when medical evidence supports disability and ensure injured civil service employees are aware of how to record Continuation of Pay (COP) in the Agency’s Web-based Time and Attendance System (WebTADS).
w. Review cases to determine whether COP controversion is appropriate, monitor cases for OWCP decisions on the payment of employees’ compensation, and take appropriate action to terminate or reduce the compensation or continuation of pay (e.g., recouping continuation of pay if the OWCP provides a formal decision denying the claim for recurrence or disallowance).
x. Immediately notify the Agency FWC Manager of civil service employee deaths, multiple injuries, or illnesses from events likely to result in multiple claims, schedule awards for injuries/illnesses in excess of $25,000, or acceptance of any hearing loss claims.
y. Advise OWCP if a civil service employee’s pay rate includes elements such as night and Sunday differential and whether the civil service employee has received the increments regularly (in which case the biweekly amount should be stated) or sporadically (in which case the civil service employee’s entire earnings in the relevant pay category for the year preceding the injury should be stated).
z. Provide special assistance to NAF employees with their claims since they work for private entities.
aa. Communicate to the NASA workforce about the process and procedures in place to handle FWC-related actions and activities if there is an Agency-wide shutdown/furlough or other event (e.g., weather-related event) that impacts the ICS's ability to personally assist employees with claims.
6.4.8 Centers shall:
a. Ensure representatives from the clinics, safety, and human capital collaborate and communicate with ICSs to facilitate successful case management and civil service employees’ return to work in limited, light, or full capacity, based on the civil service employees’ medical status.
b. Analyze chargeback costs incurred for their location, injury, and illness trends that potentially impact overall employee safety and productivity and notify the Agency FWC Manager of cases that may be of concern (e.g., high visibility and sensitive) or require additional considerations.
6.4.9 Clinics shall:
a. Appoint representative(s) that serve as subject matter experts to provide expertise and assistance to ICSs relative to injured civil service employee FWC medical claim-related documents.
b. Provide ICSs with civil service employees’ claim-related medical information required to file claims, including information related to the civil service employees’ known pre-existing conditions.
c. Aid ICSs to decipher claim-related medical diagnoses, notes from external physicians, and provide feedback and assistance in evaluating injured civil service employees’ potential return-to-work options.
6.4.10 Center safety mishap program representatives shall:
a. Appoint representative(s) that provide claim-related information and evidence to ICSs regarding investigations, circumstances, and details related to civil service employee injuries.
b. Provide ICSs and injured civil service employees’ supervisors with data (e.g., mishap investigation details) that is relevant for submittal with FWC claims.
6.4.11 Human capital shall:
a. Appoint representatives that support efforts to return injured civil service employees to suitable employment. They also serve as points of contact for injured civil service employees, supervisors, and ICSs to identify civil service employee return-to-work opportunities, provide civil service employee job descriptions, and provide options for offering disabled and/or recovering civil service employees alternative or modified work environments and/or light duty positions.
b. Provide ICSs with documentation (e.g., position descriptions and potential accommodations) that will expedite returning civil service employees to work in some capacity, based on their medical status.
c. Coordinate with ICSs to develop and extend job offers to disabled civil service employees.
6.4.12 NASA payroll offices shall:
a. Identify and transmit continuation of pay information to ICS personnel.
b. Coordinate with ICSs to calculate NASA costs and hours for civil service employees’ lost workdays.
c. Coordinate with ICSs to report continuation of pay hours and costs incurred to the Agency FWC Manager.
6.4.13 Supervisors of injured civil servants shall:
a. Advise an injured civil service employee of their right to emergency diagnosis and first treatment by the onsite clinic, or by a private physician or hospital of choice for initial treatment of occupational injuries or illnesses.
b. Ensure civil service employees are informed of their right to file a claim for FWC benefits.
c. Interface and communicate with FWC stakeholders, including safety and medical representatives and ICSs.
d. Complete the supervisory portion of OWCP forms by reviewing and signing them within DOL-mandated timeframes. Supervisors also assist ICSs and human capital representatives to identify light-duty and modified jobs for civil service employees so they can return to work in some capacity as soon as the civil service employee is medically cleared.
e. Investigate claims, including third-party aspects of a claim, and relay claim-related information to ICSs. Information transmitted to the DOL by ICSs may include diagrams showing where civil service employee injuries occurred, verification of the time of injuries, civil service employees’ purpose for being on premises at the time of injury, a description of the presence of witnesses, verification whether the civil service employee was on official duty at the time of injury, and statements disputing the claim or supporting controversion of continuation of pay compensation.
f. Ensure a civil service employee’s time and attendance is accurate relative to aspects of FWC claims.
6.5.1 General
6.5.1.1 All records relating to FECA claims, including any copies of such records maintained by NASA, are covered by DOL/GOVT-1, see Who Maintains Custody and Control of FECA Records, 20 CFR § 10.11. This system of records is maintained by and under the control of OWCP and all records covered by DOL/GOVT-1 are official records of OWCP.
6.5.1.2 All copies of documents in DOL/GOVT-1, including original forms and duplicate copies maintained by ICSs, are governed by DOL/GOVT-1. Documents are subject to the routine uses published in DOL/GOVT-1 and subject to the DOL's interpretation of its own routine uses.
6.5.1.3 All records relating to claims for benefits are considered confidential and may not be released, inspected, copied, or otherwise disclosed except as required by the Freedom of Information Act, 5 U.S.C. § 552 and 5 U.S.C. § 552a or under the routine uses provided by DOL/GOVT-1, if such release is consistent with the purpose for which the record was created.
6.5.1.4 Pursuant to requirements for NASA’s completion of OSHA Form 300, Log of Work-Related Injuries and Illnesses, investigating illnesses and injuries, and identifying suitable modified or light-duty positions for returning-to-work, certain relevant civil service employees’ claim information may be conveyed to safety and human capital representatives. Information may include the number of days away from work recommended by a civil service employee’s physician; whether the civil service employee’s physician has recommended that they not perform one or more of the routine functions of their job, or not work the full workday that they would otherwise have been scheduled to work; whether the injury or illness claim involves loss of consciousness, cancer, chronic irreversible disease, a fractured or cracked bone, or a punctured eardrum.
6.5.1.5 Per the NASA and DOL Memorandum of Understanding Rules of Behavior and DOL/GOVT-1, civil service employees’ confidential and/or sensitive information will be protected from unauthorized disclosure.
6.5.1.6 FWC case information containing a civil service employee’s personally identifiable information that needs to be transmitted electronically (e-mail) will be sent only when necessary and by using encryption (public key infrastructure) mechanisms.
6.5.2 Responsibilities
6.5.2.1 ICSs shall:
a. Protect civil service employee claim records pursuant to DOL/GOVT-1 in accordance with all applicable rules, guidelines, and provisions published by DOL, Production or Disclosure of Information or Materials, 29 CFR pt. 70, Protection of Individual Privacy and Access to Records Under the Privacy Act of 1974, 29 CFR pt. 71, and the Federal Register.
b. Have access to FWC files by virtue of their routine use under DOL/GOVT-1, which permits disclosure, but requires handling information with care.
c. Ensure computer monitors do not directly face toward an area that could allow an unauthorized person to see the contents displayed on the screen. An unauthorized person is defined as anyone who does not fall into the routine use category of individuals authorized to access FWC data. This requirement applies to ICSs working onsite at a NASA location and in telework environments.
6.5.2.2 Centers shall locate ICSs in separate, permanent, solid-walled (not portable/cubicle/modular) offices where injured civil service employee personal and medical data can be reviewed and discussed on the telephone confidentially with civil service employees, medical providers, and the DOL. This requirement may not apply if the entire section or unit of ICSs is in a stand-alone workspace that is not accessible by other employees not covered by privacy and confidentiality requirements (e.g., medical clinic).
6.5.2.3 Clinics shall:
a. Ensure protection of civil service employees’ non-claim related personal medical information that may be in their file (e.g., physician’s notes regarding other pre-existing conditions, imaging records and blood tests).
b. Limit civil service employees’ FWC information shared to only that which is necessary and appropriate to comply with OSHA regulatory requirements and return the civil service employee to work in some capacity, based on their physician’s medical assessment.
6.6.1 FWC case files will not be considered a system of records but classified as an alternate location for the records that always remain under the jurisdiction of OWCP. NASA serves as the custodian but not the owner of OWCP’s FWC records.
6.6.2 ICSs shall:
a. Include medical reports, copies of letters and decisions, and any other material that is part of the claim, regardless of its source, in a civil service employee’s FWC case file.
b. Maintain all FWC case file documents in folders apart from the civil service employee’s Employee Medical Folder (EMF) or official personnel folder. However, copies of select documents detailing a civil service employee’s work-related injury may be provided for inclusion in their EMF for their personal physician’s historical and continuity of care reference.
c. Place a notice of injury not filed with the OWCP (e.g., first aid) in the civil service employee’s EMF and retain it in accordance with OPM regulations governing disposal of the EMF. ICSs forward the form bearing original signatures to the civil service employee’s clinic for inclusion in their EMF.
d. Direct requests to amend a record covered by DOL/GOVT-1 to the OWCP District Office that has custody of the official file. NASA does not have the authority to issue determinations about requests for the correction of records contained in or covered by DOL/GOVT-1. Any request for correction received by NASA is to be referred to OWCP for review and decision.
e. Maintain electronic and hard-copy case file records in a secure location.
f. Store and lock records in a file cabinet or drawer when away from their desk and close records on the computer screen.
g. Inform civil service employees requesting a copy of their file that the OWCP is the owner of the official case file. An employee seeking a copy of their official FECA file may send a written request to the OWCP and/or provide a written request to an ICS for submission to OWCP. All persons sending requests to the OWCP will include the case number on the top of every page. Civil service employees are entitled to one free copy of their case from OWCP in accordance with 5 U.S.C. § 552a, with updates by written request at no charge.
h. For any documents provided to the civil service employee by NASA, implement a secure means to provide the documents to ensure they are transmitted confidentially and with written confirmation/verification of receipt by the civil service employee who requested their case file.
i. Retain documentation and details about the issuance of case document copies to a civil service employee in the case file, with a copy uploaded electronically to ECOMP for inclusion in the official OWCP case file.
j. Comply with the rules and regulations of the DOL that govern aspects of safeguarding civil service employees’ case file.
6.6.3 ICSs shall
a. Retain claim files until three calendar years after case closure, after which all copies of records will be disposed of securely, shredded, or burned except for claim forms with original signatures (e.g., OWCP Form CA-1, OWCP Form CA-2, OWCP Form CA-5, Claim for Compensation by Surviving Spouse and/or Children, OWCP Form CA-7, OWCP Form-7a, Time Analysis Form) in accordance with NPR 1441.1. DOL recordkeeping and retention requirements supersede any lesser NASA recordkeeping and retention requirements.
b. Securely retain original forms signed by the injured civil service employee and supervisor in a retrievable manner for 15 years after the case files have closed per the requirements of DOL/GOVT-1. Any changes to DOL original signature form retention requirements will supersede this requirement.
Note: Effective June 9, 2022, pursuant to FECA Circular No. 22-09, Employees’ Compensation Operations and Management Portal (ECOMP) Form Retention, ECOMP has the ability to verify signatures through two-factor authentication, so that a signature made through ECOMP is valid as a wet signature. NASA no longer has to retain paper copies with wet signatures of electronic forms submitted, including but not limited to Forms CA-1, CA-2, CA-7, CA-7a or CA-7b. However, for all forms signed prior to June 9, 2022, NASA must retain the original form(s) submitted by the employee, bearing original signatures, and make such forms available for inspection by DOL, as they remain covered by the government-wide Privacy Act system of records entitled DOL/GOVT-1.
6.6.4 Exceptions to non-original-signature form destruction requirements after case closure are discretionary. Typical candidates for longer retention include cases with a clear likelihood of a schedule award that has not yet been claimed, or cases where experience shows that there may be long-term residuals requiring medical intervention in the future.
6.7.1 Civil service employees may consult DOL’s CA-11, When Injured at Work Information Guide for Federal Employees, to understand the nuances of DOL requirements, such as:
a. Civil service employee eligibility to file a claim.
b. Determining compensability of a claim and timeline for submittal.
c. Traumatic Injury Claims: OCWP Form CA-16 and Controversion.
d. Occupational Disease, Exposure, and Illness.
e. Civil service employee appeals for denial of a claim.
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