[Federal Register Volume 61, Number 93 (Monday, May 13, 1996)]
[Notices]
[Pages 22039-22041]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11919]
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DEPARTMENT OF ENERGY
Privacy Act of 1974; Notice To Amend an Existing System of
Records
AGENCY: Department of Energy (DOE).
ACTION: Proposed amendment to an existing system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, Title 5, United
States Code, Section 552a, the Department of Energy is publishing for
public comment a revision to an existing system of records, ``DOE-34,
Employee Assistance Program (Alcohol and Drug Abuse Program)''
including the renaming of the system to ``DOE-34, Employee Assistance
Program (EAP) Records.'' The revision expands the scope of the system
to include assistance on all behavioral problems or issues. The
revision also proposes to increase system locations, expand the
categories of individuals covered and the categories of records in the
system, establish new routine uses, delete existing routine uses, and
update other information related to the system.
DATES: The proposed revisions will become effective without further
notice 40 days after publication in the Federal Register, unless
comments are received on or before that date that would result in a
contrary determination and a notice is published to that effect.
ADDRESSES: Written comments should be directed to the following
address: Director, FOIA/Privacy Act Division, Office of the Executive
Secretariat, HR-78, U.S. Department of Energy, 1000 Independence
Avenue, SW., Washington, DC 20585. Written comments will be available
for inspection at the above address between the hours of 9 a.m. and 4
p.m.
FOR FURTHER INFORMATION CONTACT: GayLa D. Sessoms, Director, FOIA/
Privacy Act Division, HR-78, U.S. Department of Energy, 1000
Independence Avenue, SW., Washington, DC 20585, (202) 586-5955; Bruce
Murray, Office of Personnel Policy, Programs and Assistance, HR-323,
U.S. Department of Energy, 1000 Independence Avenue, SW., Washington,
DC 20585, (202) 586-3372; or Harold Halpern, Office of General Counsel,
GC-80, U.S. Department of Energy, 1000 Independence Avenue, SW.,
Washington, DC 20585, (202) 586-8618.
[[Page 22040]]
SUPPLEMENTARY INFORMATION: The Department proposes to amend its system
of records, ``DOE-34, Employee Assistance Program (Alcohol and Drug
Abuse Program)'' and to rename the system ``DOE-34, Employee Assistance
Program (EAP) Records.'' The revision expands the scope of the system
to include assistance on all behavioral problems or issues. The
existing system covers only those records relating to counseling and
referral services to resolve alcohol and/or drug abuse problems.
The system location is extended to include the offices of off-site
Department of Energy service providers. The categories of individuals
covered is extended to former employees and the categories of records
in the system will now include a detailed employee profile, interest
inventory and/or psychological test results, issue inventory, case
notes, consent/release forms, and psychological reports.
Records from this system will be used to provide information to the
employee assistance program provider, program coordinator, and program
evaluators to assist the operation of the program. The information will
also be provided to appropriate Departmental management officials
regarding possible health, safety, or security risks.
The new routine uses permit the disclosure of information
maintained in the system of records (other than records pertaining to
alcohol and substance abuse which are subject to the more restrictive
confidentiality constraints set forth at Title 42, United States Code,
Section 290dd-2, and Title 42, Code of Federal Regulations, Part 2) to:
(1) Department contractors providing services to the Program and their
personnel who have a need for the records in the performance of their
duties; (2) appropriate community officials regarding suspected child,
spousal, or elder abuse; (3) any persons to the extent necessary to
prevent an imminent or potential crime which directly threatens loss of
life or serious bodily injury; (4) qualified personnel for the purpose
of conducting scientific research, management audits, financial audits,
or program evaluation; (5) appropriate Federal agencies in defending
claims against the United States when the claim results from actions
against an individual based upon the individual's behavior, or mental,
or physical condition, or is alleged to have arisen because of
activities of any Federal agency in connection with the individual,
and; (6) the United States Enrichment Corporation to enable it to
perform functions transferred to it from the Department.
This notice also deletes the routine uses listed for the system in
the Department's complete compilation of Privacy Act system of records
(47 Federal Register 14306, April 2, 1982) and later Federal Register
re-publications. All intended disclosures of information maintained in
the system are included in the new routine uses proposed to be
established in this notice.
The text of the system notice is set forth below.
Issued in Washington, DC, this 24th day of April, 1996.
Archer L. Durham,
Assistant Secretary for Human Resources and Administration.
DOE-34
SYSTEM NAME:
Employee Assistance Program (EAP) Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
These records are maintained at Department of Energy offices or,
when Departmental service providers (counselors) are off-site, in the
office of the provider.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former Department of Energy employees who have
contacted a service provider and have received counseling and/or been
referred out for assistance.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system includes records generated in the course of managing
and monitoring employee referrals and participation in the Employee
Assistance Program, such as:
a. Employee profile--Name; social security number; work and home
addresses and phone numbers; job title and grade level; organization;
supervisor's name and phone number; sex; race; marital status; spouse
and family members' names; name, address, and phone number of any
previously seen counselor or treatment facility; security clearance.
b. Interest inventory and/or psychological test results.
c. Issue(s) inventory.
d. Case notes.
e. Consent/release forms.
f. Correspondence, including referrals to community resources and/
or treatment facilities.
g. Medical and/or psychological reports.
All employee counseling records are owned by the Department.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Public Law 91-616, Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment, and Rehabilitation Act of 1970; Public Law 102-
143, The Omnibus Transportation Employee Testing Act of 1991; Title 5,
United States Code, Sections 301, 7901, and 7904; Title 5, Code of
Federal Regulations, Part 792; and Section 641 of the Department of
Energy Organization Act, codified at Title 42, United States Code,
Section 7251, incorporating Title 42, United States Code, Section 2201
and Title 15, United States Code, Section 764.
PURPOSE:
These records are used by the Department of Energy to maintain
documentation on employees seeking assistance on behavioral problems or
issues. Records from this system will be used to provide information to
the employee assistance program provider, program coordinator, program
evaluators to assist the operation of the program and, in cases of
employee supervisor initiated referrals and others, if the employee
waives confidentiality, records will also be provided to the employee's
supervisor.
The information will also be provided to appropriate Departmental
management officials regarding possible health, safety, or security
risks.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records regarding drug and alcohol use are subject to the
confidentiality and disclosure provisions at Title 42, United States
Code, Section 290dd-2, and the regulations at Title 42, Code of Federal
Regulations, Part 2. All other counseling records will be treated with
the same degree of confidentiality, with the exception that they may be
disclosed:
1. To Department contractors who provide services to the Employee
Assistance Program, their officers and employees, in performance of
their contracts, and their officers and employees who have a need for
the record in the performance of their duties subject to the same
limitations applicable to DOE officers and employees under the Privacy
Act.
2. To appropriate community officials if the employee is suspected
of child, spousal, or elder abuse.
3. To any person or entity to the extent necessary to prevent an
imminent or potential crime which directly threatens loss of life or
serious bodily injury.
[[Page 22041]]
4. To qualified personnel for the purpose of conducting scientific
research, management audits, financial audits, or program evaluation,
but such personnel may not identify, directly or indirectly, any
individual patient in any report, or otherwise disclose patient
identities in any manner.
5. To the Department of Justice or other appropriate Federal
agencies in defending claims against the United States, when the claim
results from action against an individual based upon the individual's
behavior, or mental or physical condition, or is alleged to have arisen
because of activities of any Federal agency in connection with the
individual.
6. To the United States Enrichment Corporation to enable the
Corporation to perform functions transferred to it from the Department
of Energy.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records may be stored in any form, including hard copy and
automated.
RETRIEVABILITY:
By employee's name or other personal identifier, such as, social
security number.
SAFEGUARDS:
Records must be maintained in locked file cabinets or offices.
Access to records is to authorized personnel only.
RETENTION AND DISPOSAL:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
a. Headquarters: Deputy Assistant Secretary for Human Resources,
U.S. Department of Energy, 1000 Independence Avenue, SW, Washington, DC
20585.
b. Field Offices: Personnel Officers at all other Departmental
locations including the Office of Inspector General.
NOTIFICATION PROCEDURES:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to either the
Director, FOIA/Privacy Act Division, Office of the Executive
Secretariat, HR-78, U.S. Department of Energy, 1000 Independence
Avenue, SW, Washington, DC 20585, for Headquarters, or the Privacy Act
Officer at each field location in accordance with the Department's
Privacy Act regulations (Title 10, Code of Federal Regulations, Section
1008, 45 FR 61576, September 16, 1980, or its successor issuance).
Requests should include the requester's complete name, social
security number, the geographic location(s) where the requester
believes the records may be located, and time period.
RECORD ACCESS PROCEDURES:
With proper identification in accordance the Department's Privacy
Act regulations, a current or former employee may obtain a copy of his/
her employee assistance file, unless, in the opinion of the service
provider, the medical or psychological information contained in it
would be inappropriate for release directly to the individual. In such
a case, the requester should provide the name of his/her attending
counselor so the file can be sent directly to the counselor and the
information released pursuant to the Privacy Act, Title 5, United
States Code, Section 552a(f)(3).
CONTESTING RECORD PROCEDURES:
Same as Notification procedures above.
RECORD SOURCE CATEGORIES:
a. The subject employee.
b. The employee's supervisor(s).
c. The employee assistance program coordinator.
d. Staff of the applicable servicing personnel office.
e. Staff of the applicable personnel security office.
f. Therapists or institutions providing treatment.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[FR Doc. 96-11919 Filed 5-10-96; 8:45 am]
BILLING CODE 6450-01-P
