[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]
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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:
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\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.
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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]
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