Whether The United States Department of Labor Has The Authority To Control The Disclosure of Federal Employee Compensation Act Records Held By The United States Postal Service, 12-10
| Decision Date | 16 November 2012 |
| Docket Number | 12-10 |
| Citation | 36 Op. O.L.C. 1 |
| Parties | Whether the United States Department of Labor Has the Authority to Control the Disclosure of Federal Employee Compensation Act Records Held by the United States Postal Service |
| Court | Opinions of the Office of Legal Counsel of the Department of Justice |
VIRGINIA A. SEITZ, Assistant Attorney General Office of Legal Counsel
The Federal Employee Compensation Act gives the Department of Labor the authority to control and limit the disclosure of FECA records held by the United States Postal Service, and DOL's FECA regulations prohibit USPS from disclosing FECA records in a manner inconsistent with DOL's Privacy Act routine uses.
The Labor Department's regulatory regime for FECA records is consistent with and furthers the purposes of the Privacy Act.
Neither the Postal Reorganization Act nor the National Labor Relations Act authorizes USPS to control the disclosure of FECA records.
The U.S. Department of Labor (“DOL”), through its Office of Workers' Compensation (“OWCP”), is responsible for administering the Federal Employee Compensation Act (“FECA”). See Letter for Virginia Seitz, Assistant Attorney General, Office of Legal Counsel, from M. Patricia Smith, Solicitor of Labor DOL at 1 (Jan. 23, 2012) (“Request Letter”). DOL has established a government-wide system of records that contains all records created in the process of filing and resolving FECA claims, including those held by other agencies. It has asserted control over those records, and provided that they will generally be kept confidential. DOL has also published a notice pursuant to the Privacy Act of 1974 that enumerates the circumstances in which FECA records may be disclosed. (These circumstances are known as “routine uses.”) The United States Postal Service (“USPS” or “Postal Service”) is the largest federal agency whose employees are covered by FECA. Id. Like other agencies covered by FECA, USPS maintains certain records related to the FECA claims its employees file. USPS has taken the position that it has authority to control the FECA records in its possession, and it has published its own Privacy Act notice listing routine uses that would permit it to disclose its FECA records when DOL's regulations would not. In light of this conflict you asked whether DOL has authority to control and limit the disclosure of FECA records held by the Postal Service. Request Letter at 1.[1] [ 2]
We conclude that FECA gives DOL such authority, and that DOL's FECA regulations prohibit USPS from disclosing FECA records in a manner inconsistent with DOL's routine uses. We further conclude that DOL's regulatory regime for FECA records is consistent with and furthers the purposes of the Privacy Act. USPS thus may not establish routine uses for FECA records that result in disclosures that would not be permitted under DOL's regulations. Finally, we disagree with USPS's arguments that the Postal Reorganization Act and the National Labor Relations Act (“NLRA”) provide it with authority to control the disclosure of FECA records.
Two statutory schemes are particularly relevant to our analysis FECA and the Privacy Act. Initially passed in 1916, FECA is now codified in chapter 81 of title 5 of the United States Code.[2] It “provides a comprehensive system of compensation for federal employees who sustain work-related injuries.” United States v. Lorenzetti, 467 U.S. 167, 168 (1984). FECA grants the Secretary of Labor or her designee exclusive authority to “administer[] and decide all questions arising under” FECA. 5 U.S.C. § 8145 (2006); see Mathirampuzha v. Potter, 548 F.3d 70, 81 (2d Cir. 2008) . The Secretary has delegated this authority to OWCP. See DOL, Delegation of Authorities and Assignment of Responsibilities to the Director, Office of Workers' Compensation Programs, 74 Fed. Reg. 58, 834, 58, 834 (Nov. 13, 2009). FECA also authorizes the Secretary to “prescribe rules and regulations necessary for the administration and enforcement of [the Act].” 5 U.S.C. § 8149 (2006).
FECA and the accompanying DOL regulations establish a process through which federal employees can submit claims of workplace-related injury or disease to DOL for adjudication and compensation. Generally, the process involves submission of a notice of a covered injury or disease accompanied by a claim form with supporting evidence, followed by investigation and adjudication of the claim by OWCP. If a claim is accepted, the employee receives relief in the form of benefits and possible reassignment. See generally Id. §§ 8101-8152 (2006 & Supp. V 2011); Questions and Answers about the Federal Employees' Compensation Act (FECA), available at http://www.dol.gov/owcp/dfec/regs/compliance/ DFECfolio/q-and-a.pdf (last visited Nov. 13, 2012).
Two features of this process are significant here. First, while DOL manages much of the claims process, a claimant's employing agency is also required to [ 3] participate. For example, the statute requires injured employees to provide notice of and information about their injuries to their “immediate superior[s], ” 5 U.S.C. § 8119, and instructs that, “immediately after an injury to an employee which results in his death or probable disability, his immediate superior shall report to the Secretary of Labor, ” id. § 8120. See also, e.g., 20 C.F.R. § 10.100 (2012) (describing employee procedure for notifying supervisor of traumatic injury); id. § 10.110 (). Employing agencies, including USPS, also contribute to the fund through which injured employees are compensated. See 5 U.S.C. § 8147(b) (); 39 U.S.C. § 2003(g) (2006) ().
Second, during the claims process, both the claimant and the employing agency create and submit numerous records documenting the employee's compensation claim. The Secretary has substantial control over the information included in these records. For example, in addition to giving the Secretary broad general authority to administer and regulate FECA, the statute specifically permits the Secretary to determine the required content in the immediate superior's report of an employee injury, and to require the filing of supplementary reports. See 5 U.S.C. § 8120. The statute also instructs covered employees to submit their FECA claims “on a form approved by the Secretary . . . [that] contain[s] all information required by the Secretary.” Id. § 8121. DOL regulations further prescribe the forms that initiate claims for compensation, the respective responsibilities of the employer and employee in filling out these forms, and the timing and manner of their transmittal. See, e.g., 20 C.F.R. § 10.7; id. § 10.111; id. § 10.102. The regulations also permit employees and employing agencies to submit additional relevant evidence, such as medical reports or other investigative materials. See, e.g., id. § 10.115. In addition, during claim adjudication, an employing agency must submit any relevant facts in its possession, may contest facts submitted by the claimant, and may conduct certain independent assessments of the claimed injury or disability. See Id. §§ 10.117 & 10.118.
DOL has explained orally that, as a result of their involvement in the FECA claims process, employing agencies typically have physical custody of certain FECA records, including the records the employing agency gathers or creates when an employee files a claim. In addition, during claim adjudication, DOL may provide employing agencies with records it obtains from an injured employee. According to DOL, employing agencies are given access to FECA records because those agencies play a significant role in the submission and adjudication of FECA claims and are generally responsible for their payment. See 5 U.S.C. § 8147(b).
The Privacy Act of 1974, 5 U.S.C. § 552a, is the second statutory scheme relevant to this dispute. It was passed “to protect the privacy of individuals identified in information systems maintained by Federal agencies, ” and governs the “collection, maintenance, use, and dissemination of information by such agencies.” Pub. L. No. 93-579, § 2(a)(5), 88 Stat. 1896, 1896 (1974). The Privacy [ 4] Act applies to any “record” kept in an agency “system of records.” The Act defines a “record” as any information maintained by an agency pertaining to an individual and linked to that individual through some means of specific identification. See 5 U.S.C. § 552a(a)(4) (2006). It defines a “system of records” as any group of records under the control of an agency from which information is retrieved through use of an individual's name or other identifying information. See Id. § 552a(a)(5). To promote transparency, the Privacy Act requires agencies to publish a notice in the Federal Register announcing the establishment or revision of their systems of records (commonly called a “system-of-records notice”) and providing detailed information about the characteristics of each system, including the sources and categories of the records the systems contain and the agency's procedures governing their use. See Id. § 552a(e)(4).
As a general matter, the Privacy Act prohibits agencies from disclosing any record contained in a system of records absent the written request or written consent...
To continue reading
Request your trial