[Federal Register Volume 61, Number 93 (Monday, May 13, 1996)]
[Notices]
[Pages 22039-22041]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11919]



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DEPARTMENT OF ENERGY

Privacy Act of 1974; Notice To Amend an Existing System of 
Records

AGENCY: Department of Energy (DOE).

ACTION: Proposed amendment to an existing system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, Title 5, United 
States Code, Section 552a, the Department of Energy is publishing for 
public comment a revision to an existing system of records, ``DOE-34, 
Employee Assistance Program (Alcohol and Drug Abuse Program)'' 
including the renaming of the system to ``DOE-34, Employee Assistance 
Program (EAP) Records.'' The revision expands the scope of the system 
to include assistance on all behavioral problems or issues. The 
revision also proposes to increase system locations, expand the 
categories of individuals covered and the categories of records in the 
system, establish new routine uses, delete existing routine uses, and 
update other information related to the system.

DATES: The proposed revisions will become effective without further 
notice 40 days after publication in the Federal Register, unless 
comments are received on or before that date that would result in a 
contrary determination and a notice is published to that effect.

ADDRESSES: Written comments should be directed to the following 
address: Director, FOIA/Privacy Act Division, Office of the Executive 
Secretariat, HR-78, U.S. Department of Energy, 1000 Independence 
Avenue, SW., Washington, DC 20585. Written comments will be available 
for inspection at the above address between the hours of 9 a.m. and 4 
p.m.

FOR FURTHER INFORMATION CONTACT: GayLa D. Sessoms, Director, FOIA/
Privacy Act Division, HR-78, U.S. Department of Energy, 1000 
Independence Avenue, SW., Washington, DC 20585, (202) 586-5955; Bruce 
Murray, Office of Personnel Policy, Programs and Assistance, HR-323, 
U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, 
DC 20585, (202) 586-3372; or Harold Halpern, Office of General Counsel, 
GC-80, U.S. Department of Energy, 1000 Independence Avenue, SW., 
Washington, DC 20585, (202) 586-8618.


[[Page 22040]]


SUPPLEMENTARY INFORMATION: The Department proposes to amend its system 
of records, ``DOE-34, Employee Assistance Program (Alcohol and Drug 
Abuse Program)'' and to rename the system ``DOE-34, Employee Assistance 
Program (EAP) Records.'' The revision expands the scope of the system 
to include assistance on all behavioral problems or issues. The 
existing system covers only those records relating to counseling and 
referral services to resolve alcohol and/or drug abuse problems.
    The system location is extended to include the offices of off-site 
Department of Energy service providers. The categories of individuals 
covered is extended to former employees and the categories of records 
in the system will now include a detailed employee profile, interest 
inventory and/or psychological test results, issue inventory, case 
notes, consent/release forms, and psychological reports.
    Records from this system will be used to provide information to the 
employee assistance program provider, program coordinator, and program 
evaluators to assist the operation of the program. The information will 
also be provided to appropriate Departmental management officials 
regarding possible health, safety, or security risks.
    The new routine uses permit the disclosure of information 
maintained in the system of records (other than records pertaining to 
alcohol and substance abuse which are subject to the more restrictive 
confidentiality constraints set forth at Title 42, United States Code, 
Section 290dd-2, and Title 42, Code of Federal Regulations, Part 2) to: 
(1) Department contractors providing services to the Program and their 
personnel who have a need for the records in the performance of their 
duties; (2) appropriate community officials regarding suspected child, 
spousal, or elder abuse; (3) any persons to the extent necessary to 
prevent an imminent or potential crime which directly threatens loss of 
life or serious bodily injury; (4) qualified personnel for the purpose 
of conducting scientific research, management audits, financial audits, 
or program evaluation; (5) appropriate Federal agencies in defending 
claims against the United States when the claim results from actions 
against an individual based upon the individual's behavior, or mental, 
or physical condition, or is alleged to have arisen because of 
activities of any Federal agency in connection with the individual, 
and; (6) the United States Enrichment Corporation to enable it to 
perform functions transferred to it from the Department.
    This notice also deletes the routine uses listed for the system in 
the Department's complete compilation of Privacy Act system of records 
(47 Federal Register 14306, April 2, 1982) and later Federal Register 
re-publications. All intended disclosures of information maintained in 
the system are included in the new routine uses proposed to be 
established in this notice.
    The text of the system notice is set forth below.

    Issued in Washington, DC, this 24th day of April, 1996.
Archer L. Durham,
Assistant Secretary for Human Resources and Administration.
DOE-34
SYSTEM NAME:
    Employee Assistance Program (EAP) Records.
SECURITY CLASSIFICATION:
    Unclassified.
SYSTEM LOCATION:
    These records are maintained at Department of Energy offices or, 
when Departmental service providers (counselors) are off-site, in the 
office of the provider.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former Department of Energy employees who have 
contacted a service provider and have received counseling and/or been 
referred out for assistance.
CATEGORIES OF RECORDS IN THE SYSTEM:
    This system includes records generated in the course of managing 
and monitoring employee referrals and participation in the Employee 
Assistance Program, such as:
    a. Employee profile--Name; social security number; work and home 
addresses and phone numbers; job title and grade level; organization; 
supervisor's name and phone number; sex; race; marital status; spouse 
and family members' names; name, address, and phone number of any 
previously seen counselor or treatment facility; security clearance.
    b. Interest inventory and/or psychological test results.
    c. Issue(s) inventory.
    d. Case notes.
    e. Consent/release forms.
    f. Correspondence, including referrals to community resources and/
or treatment facilities.
    g. Medical and/or psychological reports.
    All employee counseling records are owned by the Department.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Public Law 91-616, Comprehensive Alcohol Abuse and Alcoholism 
Prevention, Treatment, and Rehabilitation Act of 1970; Public Law 102-
143, The Omnibus Transportation Employee Testing Act of 1991; Title 5, 
United States Code, Sections 301, 7901, and 7904; Title 5, Code of 
Federal Regulations, Part 792; and Section 641 of the Department of 
Energy Organization Act, codified at Title 42, United States Code, 
Section 7251, incorporating Title 42, United States Code, Section 2201 
and Title 15, United States Code, Section 764.
PURPOSE:
    These records are used by the Department of Energy to maintain 
documentation on employees seeking assistance on behavioral problems or 
issues. Records from this system will be used to provide information to 
the employee assistance program provider, program coordinator, program 
evaluators to assist the operation of the program and, in cases of 
employee supervisor initiated referrals and others, if the employee 
waives confidentiality, records will also be provided to the employee's 
supervisor.
    The information will also be provided to appropriate Departmental 
management officials regarding possible health, safety, or security 
risks.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records regarding drug and alcohol use are subject to the 
confidentiality and disclosure provisions at Title 42, United States 
Code, Section 290dd-2, and the regulations at Title 42, Code of Federal 
Regulations, Part 2. All other counseling records will be treated with 
the same degree of confidentiality, with the exception that they may be 
disclosed:
    1. To Department contractors who provide services to the Employee 
Assistance Program, their officers and employees, in performance of 
their contracts, and their officers and employees who have a need for 
the record in the performance of their duties subject to the same 
limitations applicable to DOE officers and employees under the Privacy 
Act.
    2. To appropriate community officials if the employee is suspected 
of child, spousal, or elder abuse.
    3. To any person or entity to the extent necessary to prevent an 
imminent or potential crime which directly threatens loss of life or 
serious bodily injury.

[[Page 22041]]

    4. To qualified personnel for the purpose of conducting scientific 
research, management audits, financial audits, or program evaluation, 
but such personnel may not identify, directly or indirectly, any 
individual patient in any report, or otherwise disclose patient 
identities in any manner.
    5. To the Department of Justice or other appropriate Federal 
agencies in defending claims against the United States, when the claim 
results from action against an individual based upon the individual's 
behavior, or mental or physical condition, or is alleged to have arisen 
because of activities of any Federal agency in connection with the 
individual.
    6. To the United States Enrichment Corporation to enable the 
Corporation to perform functions transferred to it from the Department 
of Energy.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records may be stored in any form, including hard copy and 
automated.
RETRIEVABILITY:
    By employee's name or other personal identifier, such as, social 
security number.
SAFEGUARDS:
    Records must be maintained in locked file cabinets or offices. 
Access to records is to authorized personnel only.
RETENTION AND DISPOSAL:
    Records retention and disposal authorities are contained in the 
General Records Schedule and DOE records schedules which have been 
approved by the National Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
    a. Headquarters: Deputy Assistant Secretary for Human Resources, 
U.S. Department of Energy, 1000 Independence Avenue, SW, Washington, DC 
20585.
    b. Field Offices: Personnel Officers at all other Departmental 
locations including the Office of Inspector General.
NOTIFICATION PROCEDURES:
    Requests by an individual to determine if a system of records 
contains information about him/her should be directed to either the 
Director, FOIA/Privacy Act Division, Office of the Executive 
Secretariat, HR-78, U.S. Department of Energy, 1000 Independence 
Avenue, SW, Washington, DC 20585, for Headquarters, or the Privacy Act 
Officer at each field location in accordance with the Department's 
Privacy Act regulations (Title 10, Code of Federal Regulations, Section 
1008, 45 FR 61576, September 16, 1980, or its successor issuance).
    Requests should include the requester's complete name, social 
security number, the geographic location(s) where the requester 
believes the records may be located, and time period.
RECORD ACCESS PROCEDURES:
    With proper identification in accordance the Department's Privacy 
Act regulations, a current or former employee may obtain a copy of his/
her employee assistance file, unless, in the opinion of the service 
provider, the medical or psychological information contained in it 
would be inappropriate for release directly to the individual. In such 
a case, the requester should provide the name of his/her attending 
counselor so the file can be sent directly to the counselor and the 
information released pursuant to the Privacy Act, Title 5, United 
States Code, Section 552a(f)(3).
CONTESTING RECORD PROCEDURES:
    Same as Notification procedures above.
RECORD SOURCE CATEGORIES:
    a. The subject employee.
    b. The employee's supervisor(s).
    c. The employee assistance program coordinator.
    d. Staff of the applicable servicing personnel office.
    e. Staff of the applicable personnel security office.
    f. Therapists or institutions providing treatment.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[FR Doc. 96-11919 Filed 5-10-96; 8:45 am]
BILLING CODE 6450-01-P