[Federal Register Volume 79, Number 241 (Tuesday, December 16, 2014)]
[Notices]
[Pages 74736-74739]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-29379]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2014-0068]


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

AGENCY: Privacy Office, Department of Homeland Security.

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 a current Department 
of Homeland Security system of records titled, ``Department of Homeland 
Security/United States Coast Guard Employee Assistance Program Records 
System of Records.'' This system of records allows 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 biennial review of this system, the system manager 
and address category has been updated. Additionally, this notice 
includes non-substantive changes to simplify the formatting and text of 
the previously published notice. This updated system will be included 
in the Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before January 15, 2015. This updated 
system will be effective January 15, 2015.

ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0068 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Karen L. Neuman, 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, please visit http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Marilyn Scott-Perez (202) 475-3515, Privacy Officer, Commandant (CG-
61), United States Coast Guard, Mail Stop 7710, Washington, DC 20593. 
For privacy questions, please contact: Karen L. Neuman, (202) 343-1717, 
Chief Privacy Officer, Privacy Office, Department of Homeland Security, 
Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) United States Coast Guard (USCG) 
proposes to update and reissue a current DHS system of records titled, 
``DHS/United States Coast Guard--002 Employee Assistance Program 
Records System of Records.'' The collection and maintenance of this 
information will allow the DHS/USCG to administer the United States 
Coast Guard Employee Assistance Program for military personnel. As a 
result of a biennial review of the system, the system manager and 
address category

[[Page 74737]]

has been updated to reflect the new mail stop.
    Consistent with DHS's information-sharing mission, information 
stored in the DHS/USCG-002 Employee Assistance Program Records System 
of Records may be shared with other DHS components that have a need to 
know the information to carry out their national security, law 
enforcement, immigration, intelligence, or other homeland security 
functions. In addition, information may be shared with appropriate 
federal, state, local, tribal, territorial, foreign, or international 
government agencies consistent with the routine uses set forth in this 
system of records notice. This updated system will be included in DHS's 
inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which Federal Government 
agencies collect, maintain, use, and disseminate 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 retrieved by the 
name of an 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 U.S. citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals when systems 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 Management and Budget and to 
Congress.
System of Records

Department of Homeland Security (DHS)/USCG-002

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

Security classification:
    Unclassified.

System location:
    Records are maintained at the United States Coast Guard 
Headquarters in Washington, DC and field offices.

Categories of individuals covered by the system:
    All USCG active duty, reserve, and retired active duty and reserve 
military personnel and their eligible dependents/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;
     Email 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. Records 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, which 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:
    5 U.S.C. 7361, 7362, 7901, and 7904; 5 U.S.C. 301; Federal Records 
Act, 44 U.S.C. 3101.

Purpose(s):
    The Employee Assistance Program will maintain information gathered 
by and in the possession of the USCG Employee Assistance Program, an 
internal agency program designed to

[[Page 74738]]

assist employees of USCG and, in certain instances, their eligible 
dependents/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 Offices of the United 
States Attorneys) or other Federal agency 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 when 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 that 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.
    L. Pursuant to the order of a court of competent jurisdiction when 
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:
    USCG stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, or digital media.

Retrievability:
    USCG may retrieve records/data by a Military personnel's or 
eligible dependent's name. USCG Critical Incident Stress Management-
related records are filed by unit name and are not retrievable by 
individual name, but instead, by unit name.

Safeguards:
    USCG safeguards records in this system in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. USCG imposes strict controls to 
minimize the risk of compromising the information in this system. 
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:
    USCG maintains and disposes of records 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 USCG 
discloses 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.

[[Page 74739]]

    USCG will destroy files only after the required period of 
maintenance, with a witness present, by either (1) a 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.
    USCG destroys written records by shredding or burning. USCG 
destroys records stored on hard drives using software tools that ensure 
the protection of the confidential information by making reconstruction 
or compromise by reuse impracticable. USCG disposes of records 
contained on back-up tapes/diskettes 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.
    USCG transfers records located away from the destruction site in a 
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-111), United States Coast Guard, Mail Stop 7907, 
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 the Commandant (CG-611), United 
States Coast Guard, Mail Stop 7710, Washington, DC 20593.
    If an individual believes more than one component maintains Privacy 
Act records concerning him or her, the individual may submit the 
request to the Chief Privacy Officer and Chief Freedom of Information 
Act Officer, Department of Homeland Security, 245 Murray Drive SW., 
Building 410, STOP-0655, Washington, DC 20528.
    When seeking records about yourself from this system of records or 
any other Departmental 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 Chief Privacy 
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, you should:
     Explain why you believe the Department would have 
information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records; 
and
    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 the above information, the component(s) may 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, and 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, and 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; and
    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: November 18, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-29379 Filed 12-15-14; 8:45 am]
BILLING CODE 9110-04-P