[Federal Register Volume 67, Number 22 (Friday, February 1, 2002)]
[Notices]
[Pages 4965-4967]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-2456]


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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 Administration and Management, 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/ASAM. It was most recently published on 
March 7, 1997. The notice is being revised to modify certain procedures 
and update the list of system managers. Records in this system contain 
information on employees and their family members who have used the 
services of the Employee 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 revision substantially modifies the language of 
this system of records by adding a new routine use. In addition to the 
above change, some minor revisions have been made to clarify and update 
procedures and other information. The modified language will take 
effect unless comments are received that result in a different 
conclusion. Other aspects of this amendment are effective on February 
1, 2002.

FOR FURTHER INFORMATION CONTACT: EAP Director, Office of Human 
Resources, Room 5-36E, 200 Independence Avenue, SW., Washington, DC 
20201. Telephone number (202) 690-8229 or (202) 690-7431

SUPPLEMENTARY INFORMATION: Record destruction procedures in the 
previous notice were modified to reflect new legal opinions. In 
addition, this notice reflects reorganization in HHS and the resulting 
changes to the list of system managers.
    The notice is published below in its entirety, as amended.

    Dated: December 17, 2001.
Roy Tucker,
Acting Deputy Assistant Secretary for Human Resources.
09-90-0010

SYSTEM NAME:
    Employee Assistance Program (EPA) Records, HHS/OS/ASAM/OHR.

SYSTEM LOCATION:
    Offices 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 all HHS employees and their 
family members using the services of the EAP. It also covers the 
records of other Federal employees and their family members using the 
EAP through a contractual agreement between HHS and their 
organizations. (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 records will contain the following information: client 
name, date of birth, grade, job title, home address, telephone numbers, 
and (when appropriate) supervisor name and telephone number. The system 
includes records of services provided by HHS staff as well as services 
provided by contractors.
    Certain clinical information is also normally maintained in each 
record including a psychosocial history, assessment of personal 
concerns, information regarding referrals to facilities in the 
community, and all intervention outcomes. It may contain correspondence 
with program clients, including electronic mail and word processing 
applications.
    If the client is referred to the EAP by a supervisor due to work 
performance or

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conduct problems or if there is another 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 is 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.

PURPOSE(S):
    The information contained in each record is a documentation of the 
nature and extent of the client's concerns. This information is 
necessary for the clinician to formulate and implement an intervention 
plan for resolving the concerns. When the intervention plan includes 
referral(s) to 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 concern(s).
    Anonymous information from each record is also used to prepare 
statistical reports and to conduct research that helps with program 
management.

ROUTIEN USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) HHS may transfer records to contractors (e.g. 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.
    (2) HHS may transfer records to contractors or employees of other 
Federal agencies for the purpose of destroying records at the end of 
the required period of maintenance, but only in accordance with 
contracts and inter-agency agreements requiring that:
    (A) A witness trained in the proper handling of confidential 
records will be present when any records are destroyed,
    (B) Records will be destroyed by shredding or burning,
    (C) Records stored on hard drives will be destroyed using software 
tools which ensure the protection of the confidential information by 
making reconstruction or compromise by reuse impracticable, and
    (D) Records located away from the destruction site shall be 
transferred to the destruction site in a confidential manner.
    (3) 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 Director (in ASAM) must personally approve any 
disclosure made under this routine use based on his or her 
determination that it is compatible with the purpose for which the 
records were collected.
    (4) 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.
    Addendum: HHS may release statistical data (non-personal 
identifiers) derived from these records.

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. They 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/ASAM/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. HHS may also 
contract with either a private organization or other Federal agency to 
destroy these records. The personnel of these record destruction 
organizations or agencies may have access to the records at the end of 
their period of maintenance for the purpose of transferring records 
from the EAP office to a destruction site and subsequently destroying 
the records.
    (2) Physical Safeguards: All paper 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 the EAP staff outlined above, and are locked when 
not in use. These records are always maintained separate from other 
systems of record. Computer 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 outlined 
above.
    (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 threats of physical harm, 
medical emergencies, and suspected child abuse, 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 released information is prohibited without client 
consent.

[[Page 4967]]

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 HSS for EAP services. Individual 
states may require longer retention. The rules in this system notice 
should not be construed to authorize any violation of such state laws 
that have greater restrictions.
    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. Individual states may require longer 
retention. The rules in this system notice should not be construed to 
authorize any violation of such state laws that have greater 
restrictions.
    Files will be destroyed only after the required period of 
maintenance, with a witness present, by either (1) an HHS EAP 
Administrator or an EAP Administrator from another organization that 
contracts with HHS for EAP services, or (2) by designated staff of a 
private or governmental organization under contract with HHS to provide 
document destruction services. The witness must be trained in the 
proper handling of records covered by the Privacy Act and 42 CFR part 
2.
    Written records will be destroyed by shredding or burning. Records 
stored on hard drives will be destroyed using software tools which 
ensure the protection of the confidential information by making 
reconstruction or compromise by reuse impracticable. Records contained 
on back-up tapes/diskettes will be disposed by either physically 
destroying the tapes/diskettes or be deleting them using software tools 
which ensure the protection of the confidential information by making 
reconstruction or compromise by reuse impracticable.
    Records located away from the destruction site shall be transferred 
to the destruction site in the confidential manner required by HHS and 
GSA policies. The name and case coding number of the destroyed record 
will be maintained on a list of other destroyed records. No other 
information about EAP clients may be maintained once these files have 
been destroyed.

SYSTEM MANAGERS AND ADDRESSES:
    The EAP records of HHS employees and their family members are 
managed by the EAP Administrators in the various regional and 
headquarters offices (Appendix 1). The EAP records of employees from 
other organizations contracting with HHS and their family members are 
managed by EAP administrators designated in their agreements with HHS.

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. It should be 
addressed to the HHS contact person found in Appendix A. If the 
contract 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 requesting 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 system manager 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 manager 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. Requestors 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 HHS Regional Offices and Those in the Rockville, MD; Hyattsville, 
MD; and College Park, MD Areas

(except those listed below) and any other office not listed here

Employee Assistance Program Director, Office of the Secretary, ASAM, 
200 Independence Avenue, SW., Room 5-36E, Washington, DC 20201.

Centers for Disease Control and Prevention

(offices in the Atlanta, GA area)

CDC Employee Assistance Program Administrator, Personnel Management 
Office, 1600 Clifton Road, NE., Mail Stop F05, Atlanta, GA 30333.

Southwest DC Complex

Employee Assistance Program Administrator, Program Support Center, 
330 C Street, SW., Room 1250, Washington, DC 20201.

Centers for Medicare and Medicaid Services

(all locations)

HCFA Employee Assistance Program Administrator, 7500 Security 
Boulevard, S1-23-27, Baltimore, MD 21244.

National Institutes of Health

(headquarters location)

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

All Other Organizations Contracting With HHS

Program Support Center, Federal Occupational Health, Employee 
Assistance Program, Two Illinois Center, 233 North Michigan Avenue, 
Suite 270, Chicago, IL 60601-5519.
[FR Doc. 02-2456 Filed 1-31-02; 8:45 am]
BILLING CODE 41550-04-M