[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]


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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.
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    \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.
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    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.
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    \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.
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    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:
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    \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.
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    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