[Federal Register Volume 62, Number 45 (Friday, March 7, 1997)]
[Notices]
[Pages 10569-10571]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-5571]



[[Page 10569]]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary


Privacy Act of 1974; Revision to Existing System of Records

AGENCY: Employee Assistance Program, Office of the Assistant Secretary 
for Management and Budget, Office of the Secretary, HHS.

ACTION: Notice of revision of Privacy Act systems of records.

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SUMMARY: In accordance with the Privacy Act, HHS is giving notice that 
it is revising one of its system of records, 09-90-0010, Employee 
Assistance Program, HHS/OS/ASMB. It was most recently published on 
August 11, 1992. The notice is being revised to clarify certain 
procedures, and update the list of system managers. Records in this 
system contain information on employees Assistance Program (EAP). It 
also contains information on employees and their family members from 
other federal agencies that are contracting with HHS EAPs.

EFFECTIVE DATE: This amendment modifies the language of the routine 
uses but does not change them in substance. Although there is no 
substantive change, the modified language for the routine uses will 
take effect April 7, 1997, unless comments are received that result in 
a different conclusion. Other aspects of this amendment are effective 
on March 7, 1997.

FOR FURTHER INFORMATION CONTACT: EAP Team Leader, Office of Human 
Resources, Room 5-36E, 200 Independence Avenue, SW., Washington, DC 
20201. Telephone number (202) 690-8229 or (202) 690-7954.

SUPPLEMENTARY INFORMATION: Some procedure in the previous notice needed 
further clarification to assure consistent handling of records. In 
addition, this notice reflects the re-organization of HHS and the 
resulting changes to the system managers.
    The notice is published below in its entirety, as amended.

    Dated: December 30, 1996.
Eugen Kinlow,
Deputy Assistant Secretary for Human Resources
09-90-0010

SYSTEM NAME:
    Employee Assistance Program (EAP) Records, HHS/OS/ASMB/OHR.

SYSTEM LOCATION:
    Office designated to provide counseling and/or other EAP services 
for employees of HHS and their family members and employees of other 
federal agencies contracting with HHS for EAP services and their family 
members. Since there are thousands of counselors available to provide 
EAP services, contact the appropriate system manager in Appendix 1 for 
more details about specific locations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system covers the records of any HHS employee and their family 
member(s) using the services of the EAP. It also covers the records of 
any other federal employee and their family member(s) whose agency has 
contracted with HHS for EAP services. (The remainder of this notice 
will refer to all persons covered by the system as ``EAP client(s)''.)

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains a written or electronic record on each EAP 
client. These record typically contain demographic data such as client 
name, date of birth, grade, job title, home address, telephone numbers, 
and supervisor's name and telephone number. The system includes records 
of services provided by HHS staff and services provided by contractors.
    Certain clinical information is also normally maintained in each 
record including a psychosocial history, assessment of personal 
problem(s), information regarding referrals to facilities in the 
community, and all intervention outcomes.
    If the client was referred to the EAP by a supervisor due to work 
performance or conduct problems or if there is anther reason to be 
concerned about these issues, the record may contain information such 
as leave usage, work quality, inappropriate behavior, and reason for 
referral. It may also contain information about previous and on-going 
supervisory/organizational interventions to correct the problem.
    When the client was referred to the EAP because of a positive drug 
or alcohol test (as required by the drug-free workplace provisions or 
Department of Transportation regulations), the record will also contain 
information about substance abuse assessment, treatment, aftercare, and 
substance use monitoring results.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7361, 7362, 7901, 7904; 44 U.S.C. 3101.

PURPOSES:
    The information contained in each record is a documentation of the 
nature and extent of the client's problem(s). This information is 
necessary for the clinician to formulate and implement an intervention 
plan for resolving the problem(s). When the intervention plan includes 
referral(s) to the treatment or other facilities outside the EAP, the 
record also documents this referral information.
    The information contained in each record is also used for 
monitoring the client's progress in resolving the problems(s).
    Anonymous information from each record is also used to prepare 
statistical reports and conduct research that help with program 
management.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) HHS contemplates that it will contract with a private 
organization, individual, or other group such as an EAP consortium, for 
the purpose of providing EAP services for HHS employees and their 
family members and/or for employees of other Federal agencies and their 
family members. Relevant records will be disclosed to, as well as 
created and maintained by these contractors.
    (2) HHS may disclose information from this system of records for 
litigation purposes when
    (A) HHS, or any of its components, or
    (B) Any HHS employee in his or her official capacity, or
    (C) Any HHS employee in his or her individual capacity where the 
Department of Justice (or HHS, where it is authorized to do so) has 
agreed to represent the employee, or
    (D) The United States or any agency thereof where HHS determines 
that the litigation is likely to affect HHS or any of its components

is a party to litigation, and HHS determines that such use of records 
is relevant and necessary to the litigation and would help in the 
effective representation of the government party. The disclosure may be 
made to the Department of Justice. Except where the records are covered 
by the Confidentiality of Alcohol and Drug Abuse Patient Records 
regulations, 42 CFR part 2, the disclosure may be made to a court or 
other tribunal, or to another party before such tribunal. Any 
disclosure of records covered by 42 CFR part 2 must be pursuant to a 
qualified service organization agreement that meets the requirements of 
that part and must also comply with all other aspects of those 
regulations. The EAP Team Leader (in ASMB) must personally approve any 
disclosure made under this routine use based on his or her 
determination that it is compatible with

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the purpose for which the records were collected.
    (3) Records may be disclosed to student volunteers, individuals 
working under a personal services contract, and other individuals 
performing functions for the Department but technically not having the 
status of agency employees, if they need access to the records in order 
to perform their assigned agency functions.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in written folders, computers, and on index type 
cards. The are stored according to a number of physical safeguards 
described below.

RETRIEVABILITY:
    Records are retrieved by a case code number, unique to the client 
utilizing the program. These numbers are cross-indexed by name.

SAFEGUARDS:
    (1) Authorized users: Access to these records is limited to EAP 
Administrators who work directly with clients of the program and their 
immediate staffs (including counselors, secretaries, and contract or 
consortia administrators, counselors or secretaries). HHS EAP 
Administrators and HHS EAP headquarters staff in OS/ASMB/OHR as well as 
EAP Administrators and Coordinators from other federal agencies who 
contract with HHS, whether or not they directly provide clinical 
services, may have access to the records for the purposes of program 
evaluation, destroying records at the end of the period of maintenance, 
and transferring records from one contractor to another.
    (2) Physical safeguards: All records are stored in metal filing 
cabinets equipped with at least combination locks, and preferably 
locking crash bars. These file cabinets are in secured areas, 
accessible only to EAP staff, and are locked when not in use. Computers 
containing records are discrete from other computer systems and/or are 
password protected. Computers are also stored in secured areas, 
accessible only to the EAP staff. Records are always maintained 
separate from other systems of record.
    (3) Procedural safeguards: All persons having access to these 
records shall already have been trained in the proper handling of 
records covered by the Privacy Act and 42 CFR part 2 (Confidentiality 
of Alcohol and Drug Abuse Patient Records).
    These acts restrict disclosures to unique situations, such as 
medical emergencies, except where the client has consented in writing 
to such disclosure. Clients of the EAP will be informed in writing of 
the confidentiality provisions. Secondary disclosure of information 
which was released is prohibited without client consent.

RETENTION AND DISPOSAL:
    Records are retained until three years after the client has ceased 
contact with the EAP or until any litigation is finally resolved. This 
will be true whether or not the client has terminated employment with 
HHS or another agency contracting with HHS for EAP services.
    Some HHS EAPs provide Substance Abuse Professional evaluations as 
part of Department of Transportation regulations. These records will be 
retained for five years after contact with the program has ceased or 
any litigation is completed.
    Files on HHS employees and their family members will be destroyed 
only by an HHS EAP Administrator, with a witness present, and only 
after the required period of maintenance. The witness must be an HHS 
employee familiar with handling confidential records and, whenever 
possible, another EAP staff member. This includes electronic deletions. 
Written records will be destroyed by shredding or burning.
    Records located away from the EAP Administrator's site shall be 
transferred to the EAP Administrator in the confidential manner 
required by HHS and GSA policies. The case coding number of the 
destroyed record will be maintained on a list of other destroyed case 
coding numbers. No other information about EAP clients may be 
maintained once these files have been destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    The records of individuals participating in the EAP are managed by 
the EAP Administrators in the various regional and headquarters offices 
(Appendix 1).

NOTIFICATION PROCEDURES
    If an HHS employee and/or family member wishes to inquire about his 
or her record, a written inquiry should be addressed to the HHS system 
manager responsible for the area where the counseling was provided (see 
Appendix 1). The individual should provide his or her name, 
organization where employed, date of birth, location of counseling, and 
approximate date of counseling. If a third party is making the request, 
a written consent from the client must accompany the request.
    If an inquiry is made from an employee and/or family member from 
another federal agency serviced by the HHS EAP, a written inquiry shall 
be made using the same procedures described above. If the agreement to 
obtain services from HHS has terminated, the request should be made 
through the designated EAP representative at the other Federal agency.
    In some limited situations, an EAP record is considered a medical 
record. A client who requests notification or access to a medical 
record shall, at the time the request is made, designate in writing a 
responsible individual who would be willing to review the record. Upon 
receiving a request, the EAP Administrator shall weigh the need for 
disclosure against the potential injury to the EAP client, to other 
affected persons, to the physician-patient relationship, and to the 
treatment services. The EAP Administrator will then determine whether 
to disclose the record directly to the client or to the designated 
individual. If disclosed to the designated individual, he or she will 
inform the client of its content but only at his or her discretion.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought.

CONTESTING RECORD PROCEDURES:
    Contact the EAP Administrator at the address found in Appendix 1, 
and reasonably identify the record and specify the information to be 
contested. State the corrective action sought and the reasons for the 
correction.

RECORD SOURCE CATEGORIES:
    Information in this system of records is: (1) Supplied directly by 
the individual using the program, or (2) supplied by a member of the 
employee's family, or (3) derived from information supplied by the 
employee, or (4) supplied by sources to/from whom the individual has 
been referred for assistance, or (5) supplied by Department officials 
(including drug testing officers), or (6) supplied by EAP counselors, 
or (7) supplied by other sources involved with the case.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

Appendix 1

All Regional Offices (except CDC and NIH)

Employee Assistance Program Team Leader, Office of the Secretary, 
ASMB, HHS EAP

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Headquarters, 200 Independence Avenue, SW, Room 5-35E, Washington, 
DC 20201

Centers for Disease Control and Prevention

CDC Employee Assistance Program Administrator, Personnel Management 
Office, 1600 Clifton Road, NE, Mail Stop K17, Atlanta, GA 30333

Southwest Complex

Employee Assistance Program Administrator, Program Support Center, 
330 C Street, SW, Room 1036 Washington, DC 20201

Health Care Financing Administration

HCFA Employee Assistance Program Administrator, 7500 Security 
Boulevard, C2-15-05, Baltimore, MD 21244

National Institutes of Health

NIH Employee Assistance Program Administrator, Building 31, Room 
1C02, 9000 Rockville Pike, Bethesda, MD 20892

Parklawn/Hyattsville Complex

Employee Assistance Program Team Leader, Office of the Secretary, 
ASMB, HHS EAP Headquarters, 200 Independence Avenue, SW, Room-35E, 
Washington, DC 20201

[FR Doc. 97-5571 Filed 3-6-97; 8:45 am]
BILLING CODE 4150-04-M