[Federal Register Volume 76, Number 85 (Tuesday, May 3, 2011)]
[Notices]
[Pages 24901-24905]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-10719]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0019]


Privacy Act of 1974; Department of Homeland Security United 
States Coast Guard--DHS/USCG-002 Employee Assistance Program Records 
System of Records

AGENCY: Privacy Office, DHS.

[[Page 24902]]


ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to update and reissue an existing Department 
of Homeland Security system of records titled, ``Department of Homeland 
Security/United States Coast Guard-002 Employee Assistance Program 
Records System of Records.'' This system will allow the Department of 
Homeland Security/United States Coast Guard to administer the United 
States Coast Guard Employee Assistance Program for military personnel. 
As a result of the required biennial review of this system, records 
have been updated within ``Retention and Disposal'' category. This 
updated system will be included in the Department of Homeland 
Security's inventory of record system.

DATES: Submit comments on or before on or before June 2, 2011. This new 
system will be effective June 2, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0019 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 1-703-483-2999.
     Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
     Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change to http://www.regulations.gov, 
including any personal information provided.
     Docket: For access to the docket to read background 
documents or comments received go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Eileen Yenikaliotis (202-475-3530), Acting Privacy Officer, United 
States Coast Guard, 2100 2nd Street, SW., Washington, DC 20593. For 
privacy issues please contact: Mary Ellen Callahan (703-235-0780), 
Chief Privacy Officer, Privacy Office, Department of Homeland Security, 
Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) United States Coast Guard (USCG) proposes to 
update and reissue an existing DHS system of records titled, ``DHS/
USCG-002 Employee Assistance Records System of Records.'' This system 
will allow USCG to administer the USCG Employee Assistance Program for 
military personnel.
    As a result of the biennial review of this system, the ``Retention 
and disposal'' category has been amended to reflect:
    Records are maintained and disposed in accordance with National 
Archives and Records Administration approved agency Records Schedule, 
SSIC 1754, item 1 (AUTH: N1-026-07-1, Item1) Employee Assistance 
Program Coordinator Case Records; if not disclosed under the Privacy 
Act, records are retained for three years after the client has ceased 
contact and then destroyed.
    Employee Assistance Program client records may contain Department 
of Transportation-required Substance Abuse evaluations and USCG Sexual 
Abuse Prevention and Response Program client records; if not disclosed 
under the Privacy Act, these are destroyed with the Employee Assistance 
Program Coordinator case records three years after the last contact 
with the client.
    Employee Assistance Program Coordinator Case Records that are 
disclosed are retained until five years after the client has ceased 
contact or, if later, for five years after last disclosure of 
information from the record, as authorized by General Records Schedule 
14, item 23.
    All records will be retained beyond their normal maintenance period 
until any pending litigation is completed. This will be true whether or 
not the client has terminated employment with DHS/USCG. 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 DHS or USCG 
Employee Assistance Program Administrator or an Employee Assistance 
Program Administrator from another organization that contracts with DHS 
or USCG for Employee Assistance Program services, or (2) by designated 
staff of a private or governmental organization under contract with DHS 
or USCG 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 by 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. No other 
information about Employee Assistance Program clients may be maintained 
once these files have been destroyed.
    Consistent with DHS' information sharing mission, information 
stored in the DHS/USCG-002 Employee Assistance Program Records may be 
shared with other DHS components, as well as appropriate federal, 
state, local, tribal territorial, foreign, or international government 
agencies. This sharing will only take place after DHS determines that 
the receiving component or agency has a need to know the information to 
carry out national security, law enforcement, immigration, 
intelligence, or other functions consistent with the routine uses set 
forth in this system of record notice. This updated system will be 
included in DHS' inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses and disseminates individuals' records. The 
Privacy Act applies to information that is maintained in a ``system of 
records.'' A ``system of records'' is a group of any records under the 
control of an agency from which information is stored and retrieved by 
the name of the individual or by some identifying number symbol, or 
other identifying particular assigned to the individual. In the Privacy 
Act, an individual is defined to encompass United States citizens and 
lawful permanent residents. As a matter of policy, DHS extends Privacy 
Act protections to all individuals where system of records maintain 
information on U.S. citizens, lawful permanent residents, and visitors. 
Below is the description of the DHS/USCG-002 Employee Assistance 
Program Records System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of

[[Page 24903]]

Management and Budget and to Congress.
System of Records
    DHS/USCG-002.

System name:
    DHS/USCG-002 Employee Assistance Program Records.

Security classification:
    Unclassified.

System location:
    Employee Assistance Program case records are maintained by the 
USCG's vendor for the Employee Assistance Program. USCG Headquarters 
(CG-1112) is the point of contact for access to these records. Reports 
of USCG active duty suicidal behavior, work place violence incidents, 
critical incidents, and sexual assault reports are maintained at USCG 
Headquarters by the Office of Work-Life (CG-1112). All other USCG 
records under this system are located at Work-Life Offices in 
Washington, DC and field locations. USCG Headquarters (CG-1112) is the 
point of contact for access to these records.

Categories of individuals covered by the system:
    All USCG active duty, reserve, and retired active duty and reserve 
military personnel and their eligible dependants/individuals who have 
been referred for assistance or counseling, are being assisted or 
counseled, or have been assisted or counseled by the USCG Employee 
Assistance Program. Eligibility will vary based on status.

Categories of records in the system:
    Categories of records in this system include:
     Military personnel's name;
     Eligible dependent/individual's name, if applicable;
     Social Security number;
     Employee identification number;
     Date of birth;
     Addresses;
     E-mail address;
     Telephone numbers;
     Job-related information including: job title, rank, duty 
station, supervisor's name and telephone number, documents received 
from supervisors or personnel regarding work place problems or 
performance, leave and attendance records, and workplace-related 
recommendations made to supervisors as a result of a team meeting;
     Counseling and intervention-related information including: 
notes and documentation of Employee Assistance Program counselors; 
records of treatment, including non-clinical educational interventions; 
counseling referrals; team reports; records of employee attendance at 
treatment and counseling programs; prognosis of individuals in 
treatment or counseling programs; insurance data; addresses and contact 
information of treatment facilities; name and address of individuals 
providing treatment or counseling or intervention; and Privacy Act 
notification forms and written consent forms;
     USCG Workplace Violence and related Critical Incident Team 
records of the Workplace Violence Prevention Program, maintained by 
USCG Work-Life personnel. These records may include written reports and 
recommendations to leadership personnel regarding alleged work place 
violence incidents;
     USCG Critical Incident Stress Management-related records 
which may include descriptions of incidents, consultations, 
interventions, and may contain personally-identifying information (for 
the purpose of follow-on contacts with those thought to be impacted by 
the critical incident).
     USCG Sexual Assault Prevention and Response Program case 
records maintained by USCG Work-Life personnel. These records are used 
to facilitate services for victims and their family members as 
appropriate. In addition to information cited above these records may 
contain Victim Reporting Preference Statement, case notes and safety 
plan. Record may also contain descriptions of alleged assaults;
     USCG Victim Support Person or Victim Advocate maintained 
by USCG Work-Life personnel. These are maintained in conjunction with 
efforts to provide assistance to victims of crime. Record will contain 
signed Victim Support Person or Victim Advocate Statement of 
Understanding and Victim Support Person or Victim Advocate Supervisor 
Statement of Understanding, assignment information, and notes regarding 
results of screening interview, relevant training received, and any 
other information relevant to the Victim Support Person's or Victim 
Advocate's provision of support services to victims;
     USCG Critical Incident Stress Management Peer Volunteers 
maintained by USCG Work-Life personnel. These records contain statement 
of understanding, notes regarding screening interview, record of 
related training received and any other information relevant to the 
peer's provision of services when deployed after a critical incident;
     Case records maintained by USCG Work-Life personnel on 
USCG Active Duty members who have demonstrated suicidal behavior. The 
purpose of these records is to facilitate continuity of care for 
personnel who have exhibited suicidal behavior. These records will 
contain reports regarding each incident and follow-up case notes;
     Reports of USCG active duty suicidal behavior incidents, 
work place violence incidents, critical incidents, and sexual assaults 
are maintained by USCG Headquarters (CG-1112). These reports are 
received from Work-Life Offices who are responsible for providing 
services for the related programs described above. Their purpose is to 
ensure continuity of care and to identify any systemic issues found in 
aggregate data.

Authority for maintenance of the system:
    The Homeland Security Act of 2002, Pub. L. 107-296, 6 U.S.C. 121; 
Federal Records Act, 44 U.S.C. 3101; 6 CFR part 5; 5 U.S.C. app. 3; 5 
U.S.C. 301 and Ch. 41; Executive Order 11348, as amended by Executive 
Order 12107; and Executive Order 9397. 5 U.S.C. 7361, 7362, 7901, 7904.

Purpose(s):
    The Employee Assistance Program will maintain information gathered 
by and in the possession of USCG Employee Assistance Program, an 
internal agency program designed to assist employees of USCG and, in 
certain instances, their eligible dependants/individuals, in regard to 
a variety of personal and/or work related problems. The program 
involves counseling, educational, and consultative services provided 
through the internal and external Employee Assistance Program for 
alcohol, drug, emotional, or behavioral problems, and addresses 
mandatory and voluntary counseling following exposure to a traumatic 
incident, responses to critical incidents that impact employees, and 
workplace incidents involving actual violence or the threat of violence 
and necessary follow up.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Disclosure of substance abuse records is limited to the parameters 
set forth in 42 U.S.C. 290dd, 290ee, and Public Law 100-71, Section 
503(e). Accordingly, a Federal employee's substance abuse records may 
not be disclosed without the prior written consent of the employee, 
unless the disclosure would be one of the following:
    A. To the Department of Justice (including United States Attorney 
Offices) or other Federal agency

[[Page 24904]]

conducting litigation or in proceedings before any court, adjudicative 
or administrative body when it is necessary to the litigation and one 
of the following is a party to the litigation or has an interest in 
such litigation:
    1. DHS or any component thereof;
    2. Any employee of DHS in his/her official capacity;
    3. Any employee of DHS in his/her individual capacity where DOJ or 
DHS has agreed to represent the employee; or
    4. The United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and DHS determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which DHS 
collected the records.
    B. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) or harm to 
the individual who relies upon the compromised information;
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    C. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    D. To appropriate State and local authorities to report, under 
State law, incidents of suspected child abuse or neglect to the extent 
described under 42 CFR 2.12.
    E. 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.
    F. To report to appropriate authorities when an individual is 
potentially at risk to harm himself or herself or others.
    G. To medical personnel to the extent necessary to meet a bona fide 
medical emergency;
    H. To qualified personnel for the purpose of conducting scientific 
research, management audits, financial audits, or program evaluation 
provided that employees are individually identified;
    I. To the employee's medical review official;
    J. To the administrator of any Employee Assistance Program in which 
the employee is receiving counseling or treatment or is otherwise 
participating;
    K. To any supervisory or management official within the employee's 
agency having authority to take adverse personnel action against such 
employee; or
    L. Pursuant to the order of a court of competent jurisdiction where 
required by the United States Government to defend against any 
challenge against any adverse personnel action. See 42 U.S.C. 290dd, 
290ee, and Public Law 100-71, Section 503(e).

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in a 
locked drawer behind a locked door. The records are stored on magnetic 
disc, tape, digital media, and CD-ROM.

Retrievability:
    Data may be retrieved by a Military personnel's, eligible 
dependant's/individual's name. USCG Critical Incident Stress 
Management-related records are filed by unit name and are not be 
retrievable by individual name, rather, by unit name.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
system security access policies. Strict controls have been imposed to 
minimize the risk of compromising the information that is being stored. 
Access to the computer system containing the records in this system is 
limited to those individuals who have a need to know the information 
for the performance of their official duties and who have appropriate 
clearances or permissions.

Retention and disposal:
    Records are maintained and disposed in accordance with National 
Archives and Records Administration approved agency Records Schedule, 
SSIC 1754, item 1 (AUTH: N1-026-07-1, Item1) Employee Assistance 
Program (EAP) Coordinator Case Records; if not disclosed under the 
Privacy Act, records are retained for three years after the client has 
ceased contact and then destroyed.
    Employee Assistance Program client records may contain Department 
of Transportation-required Substance Abuse evaluations and USCG Sexual 
Abuse Prevention and Response Program client records; if not disclosed 
under the Privacy Act, these are destroyed with the EAP Coordinator 
case records three years after the last contact with the client.
    Employee Assistance Program Coordinator Case Records that are 
disclosed are retained until five years after the client has ceased 
contact or, if later, for five years after last disclosure of 
information from the record, as authorized by General Records Schedule 
14, item 23.
    All records will be retained beyond their normal maintenance period 
until any pending litigation is completed. This will be true whether or 
not the client has terminated employment with DHS/USCG. 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 DHS or USCG 
Employee Assistance Program Administrator or an Employee Assistance 
Program Administrator from another organization that contracts with DHS 
or USCG for Employee Assistance Program services, or (2) by designated 
staff of a private or governmental organization under contract with DHS 
or USCG 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 by deleting them using software tools 
which ensure the

[[Page 24905]]

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. No other 
information about Employee Assistance Program clients may be maintained 
once these files have been destroyed.

System Manager and address:
    Commandant, CG-1112, Office of Work-Life, United States Coast Guard 
Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

Notification procedure:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to Commandant, CG-1112, Office of Work-
Life, United States Coast Guard Headquarters, 2100 2nd Street, SW., 
Washington, DC 20593-0001.
    When seeking records about yourself from this system of records or 
any other USCG system of records your request must conform with the 
Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Director, 
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition 
you should provide the following:
     An explanation of why you believe the Department would 
have information on you;
     Specify when you believe the records would have been 
created;
     If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the USCG will not be able to 
conduct an effective search, and your request may be denied due to lack 
of specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification Procedure'' above.

Contesting record procedures:
    See ``Notification Procedure'' above.

Record source categories:
    Records are retained from the following sources:
     USCG Employee Assistance Program: the client, the licensed 
mental health provider, and collateral sources and resources intended 
to help the client.
     USCG Workplace Violence and related Critical Incident 
Team: investigation records, personnel records, critical incident team 
assembled to make recommendations to command, subject's supervisors, 
and the subject.
     USCG Critical Incident Stress Management-related records: 
Work-Life staff, Peers, Incident commander, command(s) affected, 
individuals impacted by incident, other support persons who may be 
mobilized to assist those impacted by the event.
     USCG Sexual Assault Prevention and Response Program: 
victim, victim support person, medical personnel assisting victim, 
criminal investigations and investigators, and other support personnel 
intended to assist victim.
     USCG Victim Support Persons (VSP): the victim support 
person, Work-Life staff, VSP's or Victim Advocate's work supervisor, 
other support persons who may assist in training.
     USCG Critical Incident Stress Management Peer Volunteers: 
Peer, Peer's supervisor, Work-Life staff, and other support persons who 
may assist in training.
     Case records maintained by USCG Work-Life personnel on 
USCG Duty members who have demonstrated suicidal behavior: the patient, 
medical personnel, patient's command, and Work-Life staff and other 
support persons who may assist in helping the patient.
     Reports of USCG active duty suicidal behavior incidents, 
work place violence incidents, critical incidents, and sexual assaults 
maintained by USCG Headquarters (CG-1112): Work-Life staff and others 
as described above under their related programs.

Exemptions claimed for the system:
    None.

    Dated: April 23, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-10719 Filed 5-2-11; 8:45 am]
BILLING CODE 9110-04-P