[Federal Register Volume 63, Number 14 (Thursday, January 22, 1998)]
[Notices]
[Pages 3349-3350]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-1525]


-----------------------------------------------------------------------

DEPARTMENT OF JUSTICE

[AAG/A Order No. 145-97]


Privacy Act of 1974; Altered System of Records

    Pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 
552a), notice is hereby given that the Department of Justice proposes 
to modify a system of records maintained by the Immigration and 
Naturalization Service (INS). The system is entitled the ``Employee 
Assistance Program (EAP) Treatment Referral Records, JUSTICE/INS-019,'' 
and was last published on October 10, 1995 (60 FR 52701).
    The system notice, printed below, has been modified to reflect a 
reorganization of the EAP program. Clinical records will no longer be 
maintained on behalf of INS by Health and Human Services and Office of 
Personnel Management (pursuant to an interagency agreement), nor by a 
variety of private contractors. Nor will administrative records be 
maintained by EAP Coordinators in INS regional offices. The program has 
been consolidated to include only the EAP Manager at INS headquarters, 
a prime contractor, and subcontractors or ``therapists'' as necessary. 
The prime contractor and therapists are commonly referred to as 
``contract providers.'' The EAP manager and the contract providers may 
maintain both administrative and clinical records as appropriate.
    The following captions of the notice have been redrafted to reflect 
the organizational changes: ``System Locations,'' ``Categories of 
Individuals Covered by the System,'' and ``Categories of Records in the 
System.'' In addition, other sections of the notice have been 
appropriately edited, including the ``Routine Use'' disclosure section.
    The Office of Management and Budget (OMB), which has oversight 
responsibility under the Act, requires a 40-day period in which to 
conclude its review of the system modification. In addition, 5 U.S.C. 
552a(e) (4) and (11) provide that the public be given a 30-day period 
in which to comment on new routine uses of a system of records. 
However, no ``new'' routine uses have been added; only minor edits have 
been made to the Routine use section of the notice. Nevertheless, the 
public, as well as OMB and the Congress, are invited to submit any 
comments to Patricia E. Neely, Program Analyst, Information Management 
and Security 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 to OMB and the Congress.

    Dated: December 16, 1997.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/INS-019

SYSTEM NAME:
    Employee Assistance Program (EAP) Treatment Referral Records.

SYSTEM LOCATIONS:
    Records are maintained by the EAP Manager/therapist at the 
Immigration and Naturalization Service (INS) headquarters office and at 
facilities under contract with INS to provide treatment and other 
services related to the administrative and financial management of the 
EAP program, i.e., contract providers. INS headquarters address is 425 
I Street, NW, Washington, DC 20536. Addresses of the contract providers 
may be obtained by contacting the EAP Manager at INS headquarters.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former INS employees who have sought counseling and/or 
have been referred to the INS EAP Manager, EAP Specialist, or directly 
to the INS EAP contract providers for counseling and/or treatment. To 
the limited degree that counseling and treatment may be provided to 
family members of these employees, these individuals, too, are covered 
by the system.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include any records which may assist in diagnosing, 
evaluating, counseling and/or treating the employee. Included are the 
therapist's intake/termination outcome forms, therapist case notes; 
pertinent psychosocial, medical and employment histories; medical tests 
or screenings, including drug and alcohol tests and information on 
confirmed unjustified positive drug tests generated by the staff of the 
Drug Free Workplace Program and the Medical Review Officer and provided 
by the EAP Manager or the employee's supervisor; treatment and 
rehabilitation plans as well as behavioral improvement plans; and 
records of treatment referrals. Referrals include those to community 
treatment resources when employees request legal, financial or other 
assistance not related to psychological or medical health. Where such 
referrals have been made, records may include relevant information 
related to such counseling, diagnosis, prognosis, treatment, and 
evaluation, together with follow-up data. Also included are written 
consent forms used to manage referrals and the flow of information. 
Finally, records include account information such as contract provider 
billings and INS payments.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    42 U.S.C. 290dd, et seq., and 290ee, et seq.; 42 CFR part 2; 
Executive Order 12564; 5 U.S.C. 3301 and 7901; 44

[[Page 3350]]

U.S.C. 3101 and Pub. L. 100-71, sec. 503 (July 11, 1987).

PURPOSE:
    The EAP is a voluntary program designed to assist the recovery of 
employees who are experiencing one or more of a variety of personal or 
behavioral problems (e.g., marital, financial, substance abuse). 
Records are maintained to document referral and participation in the 
EAP program; the nature and effects of the employee's personal or 
behavioral problem(s); efforts to counsel, treat, and rehabilitate the 
employee; and progress made in attaining his/her full recovery. Records 
may be used also to track compliance with agreements made to mitigate 
discipline based upon treatment (abeyance agreements).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures permitted by the Privacy Act 
itself,\1\ 5 U.S.C. 552a(b), permissive disclosures without individual 
consent, are as follows:
---------------------------------------------------------------------------

    \1\ To the extent that release of alcohol and drug abuse records 
is more restricted than other records subject to the Privacy Act, 
INS will follow such restrictions. See 42 U.S.C. 290dd and 290ee.
---------------------------------------------------------------------------

    1. Pursuant to subsection (m) of the Privacy Act, the contract 
providers maintain EAP records on behalf of INS. Therefore, in addition 
to those records which are given directly to the contract provider by 
the record subject, other records collected directly by INS may be 
disclosed by INS to the contract provider to the extent that it is 
appropriate, relevant, and necessary to enable the contract provider to 
perform his or her counseling, treatment, rehabilitation, and 
evaluation responsibilities. Similarly, records collected directly by 
the contract provider may be disclosed by the contract provider to the 
EAP Manager to the extent that it is appropriate, relevant and 
necessary to enable the EAP Manager to perform his or her counseling, 
program management and policy, and evaluation responsibilities.
    2. Relevant information may also be disclosed from this system of 
records as follows:
    a. To appropriate State or local authorities to report, under State 
law, incidents of suspected child abuse or neglect.
    b. To any person or entity to the extent necessary to prevent an 
imminent and potential crime which directly threatens loss of life or 
serious bodily injury.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in locked file cabinets and a computerized 
environment.

RETRIEVABILITY:
    Records are retrieved by a case number which is cross referenced to 
a name by the computer.

SAFEGUARDS:
    In accordance with the requirements of 42 CFR 2.16, records are 
stored in a secure environment. Paper records are stored in locked 
files and computerized records are password protected. In addition, all 
paper records, e.g., case files, billings and payment vouchers, are 
identified by case number only and cannot be identified by a name until 
they are cross-referenced by the computer system to a name.
    Records may be accessed within the EAP Program by designated EAP 
Program individuals based on their need-to-know to perform their 
duties. No records will be disclosed except with the written consent of 
the individual, or as indicated under the routine use disclosure 
outlined in this notice.

RETENTION AND DISPOSAL:
    Records are retained for three years after the individual ceases 
contact with the counselor 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. Records are destroyed by shredding or burning (General Records 
Schedules 26 and 36).

SYSTEM MANAGER(S) AND ADDRESSES:
    EAP Manager, Immigration and Naturalization Service, 425 I Street, 
NW, Washington, DC 20536.

NOTIFICATION PROCEDURE:
    Same as record access procedures.

RECORDS ACCESS PROCEDURES:
    Address all requests for access to records to the system manager 
identified above. Address all requests for records maintained by the 
contract provider to that provider. Addresses of these offices may be 
obtained by contacting the EAP Manager. Clearly mark the envelope and 
letter ``Privacy Act Request.'' Provide the full name and notarized 
signature of the individual who is the subject of the record, the dates 
during which the individual was in counseling, any other information 
which may assist in identifying and locating the record, and a return 
address.

CONTESTING RECORDS PROCEDURES:
    Direct all requests to contest or amend information in accordance 
with procedures outlined under Record Access Procedures. State clearly 
and concisely the information being contested, the reason for 
contesting it, and the proposed amendment thereof. Clearly mark the 
envelope ``Privacy Act Amendment Request.''

RECORD SOURCE CATEGORIES:
    Records are generated by the employee who is the subject of the 
record; EAP Manager, EAP Specialists, and EAP contract facilities/
providers; the personnel office; and the employee's supervisor. In the 
case of drug abuse counseling, records may also be generated by the 
staff of the Drug Free Workplace Program and the Medical Review 
Officer.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[FR Doc. 98-1525 Filed 1-21-98; 8:45 am]
BILLING CODE 4410-10-M