[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
[[Page 10570]]
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