[Federal Register Volume 66, Number 54 (Tuesday, March 20, 2001)]
[Notices]
[Pages 15755-15756]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-6879]



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DEPARTMENT OF JUSTICE

[AAG/A Order No. 222-2001]


Privacy Act of 1974; System of Records

    Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), notice is 
hereby given that the Department of Justice (DOJ) proposes to establish 
a new system of records to be maintained by the Executive Office for 
United States Attorneys, Employee Assistance Program Staff.
    The Department proposes this new system of records to permit the 
standard medical practice of retaining and recording the mental health 
history for employees of the United States Attorneys offices throughout 
the country as well as employees of the Executive Office for United 
States Attorneys (EOUSA) who seek assistance from the Employee 
Assistance Program (EAP). Records retained for these EAP clients 
include the rationale for the counseling, referrals made by the EAP 
counselor, and a record of the number of contacts made over time. This 
system, as identified in the attached Federal Register notice, permits 
EOUSA to maintain records on employees who use the EAP in order to 
ensure that the best mental health and social services practices are 
offered. This new system allows the EOUSA EAP staff to maintain EAP 
records separately from the DOJ EAP staff.
    Title 5 U.S.C. 552a(e)(4) and (11) provide that the public be given 
30 days in which to comment on the proposed new routine system. The 
Office of Management and Budget (OMB), which has oversight 
responsibility under the Act, requires a 40-day period in which to 
review the proposed system. Therefore, please submit any comments by 40 
days from publication of this notice. The public, OMB, and the Congress 
are invited to submit written comments to Mary Cahill, Management and 
Planning Staff, Justice Management Division, Department of Justice, 
Washington, DC 20530, (202) 307-1823.
    As required by 5 U.S.C. 552a(r) and Office of Management and Budget 
(OMB) implementing regulations, the Department of Justice has provided 
a report on the proposed changes to OMB and the Congress.
    A new system description is set forth below.

    Dated: March 5, 2001.
Stephen R. Colgate,
Assistant Attorney General for Administration.
  

System Name:
    Employee Assistance Program (EAP) Counseling and Referral Records, 
Justice/USA-020.

System Location:
    Records are maintained by the Executive Office for United States 
Attorneys (EOUSA) Employee Assistance Program (EAP) staff. Interested 
parties wishing to correspond regarding records should direct their 
inquiries to the EAP Administrator, Executive Office for United States 
Attorneys, 600 E St. NW., Room 6800, Washington, DC 20530, (202) 514-
1036.

Categories of Individuals Covered by the System:
    Current and former employees of United States Attorneys Offices 
(USAOs) throughout the country and employees of the Executive Office 
for United States Attorneys (EOUSA) who have sought counseling or have 
been referred for counseling or treatment through the EAP. To the 
limited degree that counseling and referral may be provided to family 
members of these employees, these individuals also are covered by the 
system. The remainder of this notice will refer to all persons covered 
by the system as ``EAP client(s).''

Categories of Records in the System:
    Records include any record, written or electronic, which may assist 
in referring, diagnosing, evaluating, counseling and/or follow-up with 
an EAP client, or resolving an EAP client's complaint or management's 
concerns (management consultation) regarding the EAP client's 
performance, attendance, or conduct problems. Included are the EAP 
counselor's intake, follow-up, and termination notes; pertinent 
psychosocial, medical, and employment histories; relevant personnel 
documents; medical tests or screenings, including drug and alcohol 
tests and information on positive drug tests generated by the staff of 
the Drug Free Workplace Program or treatment facilities from which the 
EAP client may be receiving treatment; treatment and rehabilitation 
plans; and records of referrals. Referrals include those to community 
treatment resources and social service agencies that provide financial 
or other assistance which may or may not be related to mental health or 
general medical services. Where clinical referrals have been made, 
records may include relevant information related to counseling, 
diagnosis, prognosis, treatment, and evaluation, together with follow-
up information that may be generated by the community program providing 
the relevant services. Other records included in the system are the 
written consent forms used to permit the flow of information outside 
the EAP. Records may also include account information, such as 
contractor billings and government payments, when EAP services are 
provided by an EAP contractor.

Authority for Maintenance of the System:
    42 U.S.C. 290dd et seq.; 42 CFR part 2; 5 U.S.C. 3301, 7361, 7362, 
7901 and 7904; 44 U.S.C. 3103; Executive Order 12564; and Pub. L. 100-
71, sec. 503 (July 11, 1987).

Purpose:
    Records are maintained to document the work performed by the EAP on 
behalf of the EAP client and to allow for the tracking of the EAP 
client's progress and the client's participation in the EAP or 
community programs. These records may also be used to track compliance 
with Abeyance or Last Chance agreements that include treatment options, 
in which the EAP is an integral part of establishing and/or monitoring 
treatment compliance as agreed by the EAP client and management.

Routine uses of records maintained in the system, including categories 
of users and purposes of such uses:
    In addition to those disclosures permitted by the Privacy Act 
itself, 5 U.S.C. 552a(b), relevant information may be disclosed form 
this system of records without EAP client consent as follows: \1\
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    \1\ To the extent that the release of alcohol and drug abuse 
records is more restricted than other records subject to the Privacy 
Act, EOUSA EAP staff will follow such restrictions. See 42 U.S.C. 
290dd et seq.; 42 CFR part 2.
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    a. To contractors that may provide EAP counseling and other 
services related to the administrative and financial management of the 
EAP program to the extent that it is appropriate, relevant, and 
necessary to enable the contractor to perform his or her counseling, 
treatment, rehabilitation, and evaluation responsibilities.
    b. To appropriate state or local authorities to report, where 
required under state law, incidents of suspected child, elder or 
domestic abuse or neglect.
    c. To any person or entity to the extent necessary to prevent 
imminent

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threat of serious bodily harm to client or others.
    d. When an individual to whom a record pertains has been determined 
to be mentally incompetent by a physician or under legal disability, to 
any person who is legally responsible for the care of the individual.
    e. To any person or entity to the extent necessary to meet a bona 
fide medical emergency.
    f. Pursuant to subsection (b)(3) of the Privacy Act, the Department 
of Justice may disclose relevant and necessary information to a former 
employee of the Department for purposes of: Responding to an official 
inquiry by a federal, state, or local government entity or professional 
licensing authority, in accordance with applicable Department 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information and/or consultation assistance from 
the former employee regarding a matter within that person's former area 
of responsibility.
  

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Information in this system is maintained on paper and computer 
discs in accordance with 42 CFR 2.16.

Retrievability:
    Records are indexed and retrieved by identifying number or symbol, 
cross-indexed to EAP client names.

Safeguards:
    Paper records and computer discs are kept in locked GSA-approved 
security containers, and the computer discs are password-protected. 
Only EOUSA EAP staff will have access to the records. Records may be 
reviewed by any EAP staff member as may be needed to provide EAP 
services. No record may be released by the EAP staff without prior 
approval of the EAP System Manager.

Retention and Disposal:
    Records are retained for three years after the EAP client ceases 
contact with the counselor (in accordance with General Records Schedule 
No. 1, Item No. 26) unless a longer retention period is necessary 
because of administrative or judicial proceedings. In such cases, the 
records are retained for six months after the conclusion of the legal 
proceedings. Paper records are destroyed by shredding, which must be 
performed by an EAP staff member. Computer discs are erased, degaussed, 
or physically destroyed by an EAP staff member.

System Manager and Address:
    The System Manager is the EAP Administrator, Executive Office for 
United States Attorneys, 600 E St. NW., Room 6800, Washington, DC 20530 
(202) 514-1036.

Notification Procedure:
    Same as Record Access Procedures.

Record Access Procedures:
    Make all requests for access in writing to the EAP System Manager 
identified above. Clearly mark the envelope and letter ``Freedom of 
Information Act/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 EAP counseling, any other 
information which may assist in identifying and locating the record, 
and a return address. Pursuant to 28 CFR 16.41(d), an original 
signature on a ``Certification of Identity'' form (DOJ-361) may be 
submitted in lieu of a notarized signature. This form may be obtained 
from the Department of Justice web site at http://www.usdoj.gov.

Contesting Records Procedures:
    Direct all requests to contest or amend information to the EAP 
System Manager identified above. The request should follow the Record 
Access Procedures, listed above, and should state clearly and concisely 
the information being contested, the reason for contesting it, and the 
proposed amendment thereof. Clearly mark the envelope and letter 
``Freedom of Information Act/Privacy Act Request.''

Record Source Categories:
    Records are generated by EAP personnel, referral counseling and 
treatment programs or individuals, the EAP client who is the subject of 
the record, the personnel office, the EOUSA Legal Counsel's Office, and 
the EAP client's supervisors. 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.

Exemptions Claimed for this System:
    None.

[FR Doc. 01-6879 Filed 3-19-01; 8:45 am]
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