[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
Federal Register
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This section of the FEDERAL REGISTER contains documents other than rules
or proposed rules that are applicable to the public. Notices of hearings
and investigations, committee meetings, agency decisions and rulings,
delegations of authority, filing of petitions and applications and agency
statements of organization and functions are examples of documents
appearing in this section.
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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