[Federal Register Volume 87, Number 13 (Thursday, January 20, 2022)]
[Notices]
[Pages 3067-3069]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-00988]


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 Notices
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 This section of the FEDERAL REGISTER contains documents other than rules 
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  Federal Register / Vol. 87, No. 13 / Thursday, January 20, 2022 / 
Notices  

[[Page 3067]]



AGENCY FOR INTERNATIONAL DEVELOPMENT


Privacy Act of 1974; System of Records

AGENCY: Agency for International for Development (USAID).

ACTION: Notice of new privacy act system of records.

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SUMMARY: The United States Agency for International Development (USAID) 
proposes to establish a new Agency-wide system of records entitled, 
Employee Assistance Program (EAP) Records. The purpose of publishing 
this Agency-wide notice is to meet federal requirements and promote 
consistent maintenance of USAID EAP records. EAP is a voluntary 
program, administered by USAID's Staff Care Wellness Program, designed 
to assist EAP clients in obtaining help with a wide range of personal 
and work-related issues or concerns that may affect job performance and 
their overall physical and mental fitness.

DATES: Submit comments on or before 3 February 2022. This modified 
system of records will be effective 3 February 2022 upon publication. 
The Routine Uses are effective at the close of the comment period.

ADDRESSES: You may submit comments:

Electronic

     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions on the website for submitting comments.
     Email: [email protected].

Paper

     Fax: 202-916-4946.
     Mail: Chief Privacy Officer, United States Agency for 
International Development, 1300 Pennsylvania Avenue NW, Washington, DC 
20523.

FOR FURTHER INFORMATION CONTACT: Ms. Celida A. Malone, USAID Privacy 
Program at United States Agency for International Development, Bureau 
for Management, Office of the Chief Information Officer, Information 
Assurance Division: ATTN: USAID Privacy Program, 1300 Pennsylvania 
Avenue NW, Washington, DC 20523, or by phone number at 202-916-4605.

SUPPLEMENTARY INFORMATION: USAID is establishing this new system of 
records notice to document the records collected and maintained by 
staff of the USAID EAP program concerning EAP clients, and to allow for 
the tracking of the EAP client's progress and participation in the EAP 
or EAP-related community programs. EAP is a voluntary program designed 
to assist EAP clients in obtaining help with a wide range of personal- 
and work-related issues or concerns that may affect job performance and 
their overall physical and mental fitness.

SYSTEM NAME AND NUMBER:
    USAID-35 Employee Assistance Program (EAP) Records.

SECURITY CLASSIFICATION:
    Sensitive but Unclassified.

SYSTEM LOCATION:
    Harting EAP Corporate Office, 4972 Benchmark Centre Drive Suite 
200, Swansea, IL 62226.

SYSTEM MANAGER(S):
    Supervisory Social Worker, Staff Care Center, Office of Human 
Capital and Talent Management, United States Agency for International 
Development, Ronald Reagan Building, 1300 Pennsylvania Avenue NW, 
Washington, DC 20523. Email: [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title 5 United States Code (U.S.C.) Section (Sec.  ) 7901--Health 
Service Programs, and Public Law 79-658; 42 U.S.C. 290dd-1, 290ee-1; 42 
U.S.C. 290dd-2; 5 U.S.C. 7361 and 7362, The Federal Employee Substance 
Abuse Education and Treatment Act of 1986, and Title 5 Code of Federal 
Regulations (CFR) Part 792; Public Laws 96-180 and 96-181; Public Law 
79-658; Executive Order 12564; 44 U.S.C. 3101; 5 CFR part 792, Federal 
Employees' Health, Counseling, and Work/Life Programs, Subpart A42; CFR 
part 2, Confidentiality of Substance Use Disorder Patient Records; 
Public Law 100-71, 101 Stat. 4711, as amended, Program Supplementals; 
Public Laws 96-180 and 96-181.
    Diverse laws and policies require USAID to maintain the 
confidentiality of an employee, to the extent permitted by law. These 
include:
     42 CFR part 2
     The Privacy Act of 1974
     State laws, especially those covering child and elder 
abuse reporting
     Professional association standards and codes of ethics.

PURPOSE(S) OF THE SYSTEM:
    This system will maintain information collected and/or generated 
for the provision of services by USAID Staff Care. USAID Staff Care 
promotes a range of programs, services, and resources designed to 
bolster the resilience, wellness, and work-life balance of USAID's 
workforce and their family members. The information contained in this 
system will be used to monitor the EAP client's progress and 
participation in the EAP or EAP-related community programs (such as 
support groups, Alcoholics Anonymous, etc.). EAP is a voluntary program 
that provides cost-free and confidential assessment, short-term 
counseling, referral, and follow-up services to its clients who 
experience personal and/or work-related challenges that may affect 
attendance, work performance, and/or conduct.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    USAID employees and their eligible family members, who seek and/or 
receive assistance through, or are referred by their supervisors or 
other Agency officials for assistance through the EAP.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains records on USAID Staff Care clients. Records 
may contain the following information:
     Client Contact Information, including: Name, Employee 
Identification Numbers, Job Title/Series, Grade, Home/Work Address, 
Home/Work Telephone Number, and Emergency Contact of EAP Clients.
     Client Sociodemographic Information, including: Date of 
Birth, Race, Gender, Sexual Orientation, Marital Status, Relationship 
of Family Member to USAID employee.
     Employment information, including: Employment history, 
records

[[Page 3068]]

related to work performance or conduct issues, such as records of 
referrals, leave usage, supervisory/organizational interventions.
     Treatment Records, including: Counselor Intake forms, 
consultation notes, treatment plans, treatment recommendations, 
referrals to third-party service providers. Referrals may include those 
to community-based resources, treatment facilities and/or organizations 
that provide legal, financial, or other assistance not related to 
mental health or general medical services. Where clinical referrals 
have been made, records may include relevant information related to 
counseling, diagnosis(es), prognosis(es), treatment, and evaluation, 
along with follow-up data that may be generated by the community 
program providing the relevant services. Written consent forms are used 
to permit the disclosure of information outside the EAP.
     Records related to Substance Abuse Testing and Treatment, 
including: drug and alcohol test results, evaluations, treatment and 
rehabilitation plans, records of referrals and other information that 
may be generated by USAID's Drug-Free Workplace Program or treatment 
facilities from which the EAP client may be receiving treatment.
     Service Provider Information, including: Account Number, 
Contractor Billing Information, Insurance Information and Government 
Payments Note 1: Listed below are other types of records that contain 
information about employee health and fitness, which are not covered by 
this system of records. Such records are covered by a government-wide 
system of records (OPM/GOVT-10), which is managed by the U.S. Office of 
Personnel Management. Records covered by OPM/GOVT-10 include:
     Medical records, forms, and reports completed or obtained 
when an individual applies for a Federal job and is subsequently 
employed
     Medical records, forms, and reports completed during 
employment as a condition of employment, either by the USAID or by 
another State or local government entity, or a privacy sector entity 
under contract to USAID
     Records pertaining to and resulting from drug screening 
for use of illegal drugs under Executive Order 12564
     Reports of on-the-job injuries and medical records, forms, 
and reports generated as a result of the filing of a claim for Workers 
Compensation.

RECORD SOURCE CATEGORIES:
    Information contained in this system is obtained from:
     The individual to whom the information pertains
     The individual's supervisors or coworkers
     Medical staff who have examined, tested, or treated the 
individual
     Laboratory reports and test results
     Employee's bargaining unit
     Other external sources who provide relevant information to 
facilitate the provision of services by the EAP contractor.
    In the case of drug abuse counseling, records may also be generated 
by those administering USAID's Drug-Free Workplace Program.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The confidentiality of services provided through EAP is strictly 
maintained. In addition to those disclosures generally permitted under 
5 U.S.C. 552a(b), relevant records or information in this system may be 
disclosed without the EAP client consent as follows:
    (a) To law enforcement officers to report information directly 
related to an EAP client's commission of a crime on the premises of the 
EAP program or against EAP program personnel or a threat to commit such 
a crime, provided that the disclosure is limited to the circumstances 
of the incident, including the client status of the individual 
committing or threatening to commit the crime, that individual's name 
and address, and that individual's last known whereabouts.
    (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 an 
imminent crime which directly threatens loss of life or serious bodily 
injury.
    (d) To an authorized designee who is responsible for the care of an 
EAP client when the EAP client to whom the records pertain is mentally 
incompetent or under legal disability.
    (e) To contractors or authorized EAP community health care 
providers that provide counseling and other services through referrals 
from the EAP staff to the extent that it is appropriate, relevant, and 
necessary to enable the contractor or provider to perform his or her 
evaluation, counseling, treatment, and rehabilitation responsibilities.
    (f) To contractors and their agents, grantees, experts, 
consultants, and others (e.g., providers contracted to provide Staff 
Care services to USAID employees and their family members) performing 
or working on a contract, service, grant, cooperative agreement, or 
other assignment for USAID, 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 USAID 
officers and employees.
    (g) To Medical or Emergency Response Personnel to the extent 
necessary to meet a bona fide medical emergency.
    (h) To a Federal, State or local agency, professional licensing 
authority, or other appropriate entities as required to ensure the 
professional responsibility requirements are met by EAP employees.
    (i) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal or administrative 
proceedings, when the USAID is a party to the proceeding or has a 
significant interest in the proceeding, to the extent that the 
information is determined to be relevant and necessary.
    (j) To appropriate agencies, entities, and persons when: (1) USAID 
suspects or has confirmed that there has been a breach of the system of 
records; (2) USAID has determined that as a result of the suspected or 
confirmed breach, there is a risk of harm to individuals (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with USAID's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    (k) To another federal agency or federal entity, when USAID 
determines that the information from the system of records is 
reasonably necessary to assist the recipient agency or entity in: (1) 
Responding to a suspected or confirmed breach; or (2) preventing, 
minimizing, or remedying the risk of harm to individuals, the recipient 
agency or entity (including its information systems, programs, and 
operations), the Federal Government, or national security, that might 
result from a suspected or confirmed breach.
    (l) To the National Archives and Records Administration (NARA) for 
the purposes of records management inspections conducted under the

[[Page 3069]]

authority of Sections 2904 and 2906 of Title 44 of the U.S.C. and in 
its role as Archivist.
    Note 2: To the extent that disclosure of substance abuse patient 
records is more restricted than disclosure of other EAP records, the 
EAP staff will follow such restrictions. See 42 U.S.C. 290dd-2; 42 CFR 
part 2. Similarly, nothing in these routine uses should be construed as 
authorizing a disclosure which is prohibited under State law; nor may 
any State law either authorize or compel any disclosure of substance 
abuse patient records not encompassed by this Notice and governing EAP 
regulations. (See 42 CFR 2.20.)

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    USAID stores records in this system in electronic format and paper 
format. Records in paper format are stored in file folders in locked 
cabinets. Records in electronic format are kept in a user-authenticated 
and password-protected computerized database system.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    USAID EAP staff indexes and retrieves records by the name of the 
EAP client or by an identifying case number that is cross-indexed to 
the EAP client's name.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    USAID follows NARA-approved records retention schedule. EAP 
records, regardless of the storage medium and whether or not an 
employee has terminated employment with the Agency, are retained during 
their useful life in accordance with General Records Schedule 2.7, 
Employee Health and Safety Records.
     Records not related to performance or conduct. These 
records are destroyed seven (7) years after termination of counseling 
for adults, or three (3) years after a minor reaches the age of 
majority, or when the State-specific statute of limitations has expired 
for contract providers subject to State requirements.
     Records related to employee performance or conduct. These 
records are destroyed once the employee has met condition(s) specified 
by agreement or adverse action or a performance-based action case file 
has been initiated.
    Only the EAP Director or equivalent may destroy or dispose of EAP 
records and must have at least one witness present when paper records 
are destroyed, or electronic records are deleted. The witness must be 
an Agency employee familiar with handling confidential records. 
Whenever possible, witnesses should be other EAP staff members. All EAP 
records must be destroyed and/or deleted using Agency-approved disposal 
procedures.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    USAID EAP personnel maintain Internal EAP records. Access to USAID 
buildings where records are located is restricted by 24-hour electronic 
identification.
    For Paper Records: USAID secures records in lockable metal filing 
cabinets within a locked room when not in use. Access to these records 
are strictly limited to authorized USAID EAP personnel. Only the case 
number appears on the file label. The file is cross-referenced with a 
separately secured list with a corresponding name and case number.
    For Electronic Records: USAID EAP personnel store and password-
protect electronic records in a user-authenticated, USAID-issued 
computer and/or a USAID-approved, computerized database system. These 
records are maintained separately from other systems of record. Access 
to these electronic records is strictly limited to authorized USAID EAP 
personnel.
    USAID EAP contractors are also required to maintain all USAID EAP 
client records with similar safeguards to ensure the security and 
confidentiality of EAP records and to protect against any anticipated 
threats or hazards to their security or integrity which could result in 
substantial harm, embarrassment, inconvenience, or unfairness to any 
individual on whom information is maintained.
    All persons having access to these records shall be 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.

RECORD ACCESS PROCEDURES:
    Under the Privacy Act, individuals may request access to records 
about themselves. These individuals must be limited to citizens of the 
United States or aliens lawfully admitted for permanent residence. If a 
Federal Department or Agency or a person who is not the individual who 
is the subject of the records, requests access to records about an 
individual, the written consent of the individual who is the subject of 
the records is required.
    Individuals seeking access to information about themselves 
contained in this system of records should address inquiries to the 
Bureau for Management, Office of Management Services, Information and 
Records Division (M/MS/IRD), USAID Annex--Room 2.4.0C, 1300 
Pennsylvania Avenue NW, Washington, DC 20523. The requester may 
complete and sign a USAID Form 507-1, Certification of Identity Form or 
submit signed, written requests that should include the individual's 
full name, current address, telephone number, and this System of 
Records Notice number. In addition, the requester must provide either a 
notarized statement or an unsworn declaration made in accordance with 
28 U.S.C. 1746, in the following format:
     If executed outside the United States: ``I declare (or 
certify, verify, or state) under penalty of perjury under the laws of 
the United States of America that the foregoing is true and correct. 
Executed on (date). (Signature).''
     If executed within the United States, its territories, 
possessions, or commonwealths: ``I declare (or certify, verify, or 
state) under penalty of perjury that the foregoing is true and correct. 
Executed on (date). (Signature).''

CONTESTING RECORD PROCEDURES:
    See Section 3.20 above, Record Access Procedures. Individuals may 
also contact the appropriate EAP System of Records Manager at the USAID 
Staff Care email address: [email protected] to: (i) Request 
access, contest, or amend a notification of records; and (ii) to 
determine the location of particular EAP records created by contractors 
on behalf of USAID, or maintained by contractors at the contractor's 
location.

NOTIFICATION PROCEDURES:
    See Section 3.20 above, Record Access Procedures.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

Celida Ann Malone,
Government Privacy Task Lead.
[FR Doc. 2022-00988 Filed 1-19-22; 8:45 am]
BILLING CODE 6116-01-P