[Federal Register Volume 59, Number 83 (Monday, May 2, 1994)] [Unknown Section] [Page 0] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 94-10403] [[Page Unknown]] [Federal Register: May 2, 1994] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF JUSTICE [AAG/A Order No. 85-94] Privacy Act of 1974; New System of Records Pursuant to the Privacy Act, 5 U.S.C. 552a, the Department of Justice, United States Marshals Service, proposes to establish a new system of records entitled ``Employee Assistance Program (EAP) Records, JUSTICE/USM-015.'' Title 5 U.S.C. 552a(e)(4) and (11) provide that the public be given a 30-day period in which to comment on any new routine uses of a system of records; the Office of Management and Budget (OMB), which has oversight responsibilities under the Act, requires a 40-day period in which to review the new system. Therefore, please submit any comments by June 1, 1994. The public, OMB, and the Congress are invited to submit written comments to Patricia E. Neely, Staff Assistant, Systems Policy Staff, Justice Management Division, Department of Justice, Washington, DC 20530, (Room 850, WCTR Building). In accordance with 5 U.S.C. 552a(r), the Department has provided a report on this system of records to OMB and the Congress. The system description is printed below. Dated: April 13, 1994. Stephen R. Colgate, Assistant Attorney General for Administration. JUSTICE/USM-015 U.S. Marshals Service (USMS) Employee Assistance Program (EAP) Records. Records of the Employee Assistance Office, Employee Relations Division, USMS, are located at 600 Army Navy Drive, Arlington, Virginia 22202-4210. Records of independent health service organizations (IHSOs) with whom the USMS has contracted for health services, are located at the respective offices of these services providers.\1\ Addresses of these service providers may be obtained by contacting the USMS Employee Assistance Office. --------------------------------------------------------------------------- \1\On behalf of the USMS, the local IHSO subcontracts with similar throughout independent health service organizations in areas outside of the Washington, DC metropolitan area to provide similar services to USMS employees located in those areas. --------------------------------------------------------------------------- Current and former employees of the USMS (and, in limited cases, immediate family members) who have sought counseling or have been referred for counseling or treatment through the USMS EAP. Records of the USMS Employee Assistance Office and the IHSOs include written consent forms used to manage referrals and the exchange or flow of personal information, and account information such as billings and payments. (Where relevant, necessary, and proper certain records may be duplicated in these offices.) Other records generally maintained by the USMS Employee Assistance Office and the IHSOs are described as follows: A. Records located in the USMS Employee Assistance Office include only records which may assist in managing and monitoring employee referrals and participation in the EAP Program. Examples of such records are: The name, location and telephone number(s) of the employee, family member or supervisor or manager who makes the initial contact with EAP personnel; the date and manner of initial contact, i.e., by telephone or in person; notes of problem(s) presented upon initial contact with EAP personnel; documents received from supervisors or personnel on work place problems or performance; insurance data; name and address of treatment facilities; number of sessions attended by the participating employee or family member; leave records; written consent forms and abeyance/back-to-work agreements (made to mitigate adverse action based upon treatment); information on confirmed, unjustified positive drug tests provided by the Drug Free Workplace Program and the Medical Review Officer under E.O. 12564; and ``sanitized'' audit records of the EAP/IHSO Program. B. Records of the IHSOs may include any records which may assist in (1) assessing and counseling the individual on a short-term basis, and (2) identifying those individuals who may need long-term professional counseling, treatment and/or rehabilitation services (beyond those provided for by the USMS contract with the IHSOs). Records of the local IHSO may also include any records which may assist in monitoring and evaluating the performance of the various IHSOs outside the Washington, DC metropolitan area. Examples of IHSO records are: Personal identifying data on the employee and/or family member such as name, social security number, gender; home address and telephone number(s); notes and documentation of problem(s) presented upon initial contact with the IHSO; date of intake at the IHSOs; pertinent psychological, medical, employment and/or financial histories; address(es) of IHSOs providing short-term services; clinical notes and documentation on short-term counseling; attendance at short-term counseling sessions; prognosis information; information on problem resolution through short- term counseling, if applicable; date closed at the IHSO; information on confirmed, unjustified positive drug tests; and client employee/family member evaluations of services provided by the IHSOs. Records may also include recommendations and referrals to community resources for long- term counseling, treatment and/or rehabilitation programs beyond the services provided by the USMS EAP/IHSOs, including referrals for other assistance not related to financial concerns, or psychological or medical health. C. Other records included in the system (and which may be duplicated in the USMS EAP and IHSO offices, where relevant, necessary, and proper) are those obtained from specialized service providers (SSPs) with the written consent of the subject individual.\2\ Generally, such records are limited to those which relate to attendance at sessions, prognosis for recovery, motivation, and progress toward recovery. However, where the record subject deems it necessary or desirable to furnish additional records, such records could include: Medical tests and screenings; treatment and rehabilitation plans as well as behavioral improvement plans; notes and documentation on counseling; and relevant information pertaining to assistance provided on matters other than financial concerns, or psychological or medical health. --------------------------------------------------------------------------- \2\SSPs are health service, community-based organizations, which offer long-term treatment and rehabilitation services. The USMS EAP and/or the IHSOs may recommend that the individual seek professional assistance beyond that provided by the USMS EAP program contracted out with the IHSOs. Where the individual chooses to pursue further treatment, he may elect to provide the USMS EAP and/or the IHSOs with such information as may be relevant to the back-to-work agreement. --------------------------------------------------------------------------- 42 U.S.C. 290dd, et seq. and 290ee, et seq.; 42 CFR 2.1, et seq.; Executive Order 12564, 5 U.S.C. 3301 and 7901; 44 U.S.C. 3101 and Pub. L. No. 100-71, Sec. 503 (July 11, 1987). The EAP is a voluntary program designed to assist the employee in obtaining necessary help in handling personal problem(s) affecting job performance, and to provide emotional support and assistance during periods of crises, including those arising from traumatic work-related incidents. Records are maintained to document participation in the EAP program; the nature and effects of the employee's personal problem(s); and efforts to counsel the employee. Records may be used also to monitor compliance with abeyance and back-to-work agreements made to mitigate adverse actions based upon treatment. In addition to those disclosures permitted by the Privacy Act itself, 5 U.S.C. 552a(b),\3\ permissive disclosures, without individual consent, are as follows: --------------------------------------------------------------------------- \3\To the extent that release of alcohol and drug abuse records is more restricted than other records subject to the Privacy Act, the USMS will follow such restrictions. See 42 U.S.C. 290dd and 290ee (and implementing regulations at 42 CFR part 2), and Public Law 100-71, section 503. --------------------------------------------------------------------------- 1. To the extent that it is appropriate, relevant, and necessary to enable the IHSOs to perform counseling, referral and program performance evaluation responsibilities, the USMS will provide those records--identified in paragraph A. of the ``Category of Records in the System'' (which are primarily administrative in nature) to the IHSOs who, on behalf of the USMS, maintain and operate a portion of this system of records--identified in paragraph B. of the same caption. 2. On behalf of the USMS, the IHSOs may disclose as follows: (a) To the appropriate State or local agency or authority to the extent necessary to comply with laws governing reporting incidents of suspected child abuse or neglect, and (b) to Federal, State and/or local authorities or to any other entity or person to the extent necessary to prevent an imminent and potential crime which directly threatens loss of life or serious bodily injury. Information is stored in locked metal safes. Records are retrieved by name of employee and, in limited cases, immediate family members. In accordance with the requirements of 42 CFR 2.16, USMS EAP and IHSO records are stored in a secure enivronment. Access to USMS EAP records is restricted to designated USMS EAP personnel, except as otherwise permitted by law or with the written consent of the individual. Vouchers prepared to effect payment for services rendered by the IHSOs in performance of the contract do not contain individual identifiers. Invoices prepared by IHSOs located outside the Washington, DC metropolitan area are sent by first-class mail to the designated member(s) of the local IHSO contracted by the USMS. In turn, invoices or other records prepared in support of payment vouchers which contain individual identifiers are hand-carried by the local IHSO to the EAP Administrator who retains the supporting documentation. Records are maintained in locked metal safes. Entry to headquarters is restricted by 24-hour guard service to employees with official and electronic identification. Access to IHSO records is restricted to a designated member(s) of the IHSO, except as otherwise provided by law or with the written consent of the individual. IHSO records are stored in locked files also. Records are retained for three years after the individual ceases contact with the USMS EAP and/or the IHSO unless a longer retention period is necessary because of pending administrative or judicial proceedings. In such cases, the records are retained for six months after the case is closed. At that time the records are destroyed by shredding (General Records Schedules 26 and 36). Employee Assistance Program Administrator, Employee Assistance Office, Employee Relations Division, United States Marshals Service, 600 Army Navy Drive, Arlington, Virginia, 22202-4210. Same as ``Record Access Procedures.'' Address all requests for access to USMS EAP records (identified in paragraphs A. and C. of the ``Category of Records in the System,'') in writing to the system manager identified above. Address all requests for records maintained by the IHSOs (identified in paragraph B. of the same caption) to these service providers. Addresses of these service providers may be obtained by contacting the USMS Employee Assistance Office. Clearly mark the envelope and letter ``Privacy Act Request.'' Clearly indicate the name of the requester, nature of the record sought, and approximate date of the record. In addition, provide the required verification of identity (28 CFR 16.41(d)) and a return address for transmitting the information. Direct all requests to contest or amend information in accordance with the procedures outlined under ``Record Access Procedures.'' State clearly and concisely the information being contested, the reasons for contesting it, and the proposed amendment to the information sought. Clearly mark the letter and envelope ``Privacy Act Amendment Request.'' Records are generated by the employee who is the subject of the record; USMS EAP personnel; the IHSO and SSP; the USMS personnel office; and the employee's supervisor. In the case of a confirmed, unjustified positive drug test, records may also be generated by the staff of the Drug-free Workplace Program and the Medical Review Officer. None. [FR Doc. 94-10403 Filed 4-29-94; 8:45 am] BILLING CODE 4410-01-M