[Federal Register Volume 59, Number 83 (Monday, May 2, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10403]
[[Page Unknown]]
[Federal Register: May 2, 1994]
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DEPARTMENT OF JUSTICE
[AAG/A Order No. 85-94]
Privacy Act of 1974; New System of Records
Pursuant to the Privacy Act, 5 U.S.C. 552a, the Department of
Justice, United States Marshals Service, proposes to establish a new
system of records entitled ``Employee Assistance Program (EAP) Records,
JUSTICE/USM-015.''
Title 5 U.S.C. 552a(e)(4) and (11) provide that the public be given
a 30-day period in which to comment on any new routine uses of a system
of records; the Office of Management and Budget (OMB), which has
oversight responsibilities under the Act, requires a 40-day period in
which to review the new system.
Therefore, please submit any comments by June 1, 1994. The public,
OMB, and the Congress are invited to submit written comments to
Patricia E. Neely, Staff Assistant, Systems Policy Staff, Justice
Management Division, Department of Justice, Washington, DC 20530, (Room
850, WCTR Building).
In accordance with 5 U.S.C. 552a(r), the Department has provided a
report on this system of records to OMB and the Congress.
The system description is printed below.
Dated: April 13, 1994.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/USM-015
U.S. Marshals Service (USMS) Employee Assistance Program (EAP)
Records.
Records of the Employee Assistance Office, Employee Relations
Division, USMS, are located at 600 Army Navy Drive, Arlington, Virginia
22202-4210. Records of independent health service organizations (IHSOs)
with whom the USMS has contracted for health services, are located at
the respective offices of these services providers.\1\ Addresses of
these service providers may be obtained by contacting the USMS Employee
Assistance Office.
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\1\On behalf of the USMS, the local IHSO subcontracts with
similar throughout independent health service organizations in areas
outside of the Washington, DC metropolitan area to provide similar
services to USMS employees located in those areas.
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Current and former employees of the USMS (and, in limited cases,
immediate family members) who have sought counseling or have been
referred for counseling or treatment through the USMS EAP.
Records of the USMS Employee Assistance Office and the IHSOs
include written consent forms used to manage referrals and the exchange
or flow of personal information, and account information such as
billings and payments. (Where relevant, necessary, and proper certain
records may be duplicated in these offices.) Other records generally
maintained by the USMS Employee Assistance Office and the IHSOs are
described as follows:
A. Records located in the USMS Employee Assistance Office include
only records which may assist in managing and monitoring employee
referrals and participation in the EAP Program. Examples of such
records are: The name, location and telephone number(s) of the
employee, family member or supervisor or manager who makes the initial
contact with EAP personnel; the date and manner of initial contact,
i.e., by telephone or in person; notes of problem(s) presented upon
initial contact with EAP personnel; documents received from supervisors
or personnel on work place problems or performance; insurance data;
name and address of treatment facilities; number of sessions attended
by the participating employee or family member; leave records; written
consent forms and abeyance/back-to-work agreements (made to mitigate
adverse action based upon treatment); information on confirmed,
unjustified positive drug tests provided by the Drug Free Workplace
Program and the Medical Review Officer under E.O. 12564; and
``sanitized'' audit records of the EAP/IHSO Program.
B. Records of the IHSOs may include any records which may assist in
(1) assessing and counseling the individual on a short-term basis, and
(2) identifying those individuals who may need long-term professional
counseling, treatment and/or rehabilitation services (beyond those
provided for by the USMS contract with the IHSOs). Records of the local
IHSO may also include any records which may assist in monitoring and
evaluating the performance of the various IHSOs outside the Washington,
DC metropolitan area. Examples of IHSO records are: Personal
identifying data on the employee and/or family member such as name,
social security number, gender; home address and telephone number(s);
notes and documentation of problem(s) presented upon initial contact
with the IHSO; date of intake at the IHSOs; pertinent psychological,
medical, employment and/or financial histories; address(es) of IHSOs
providing short-term services; clinical notes and documentation on
short-term counseling; attendance at short-term counseling sessions;
prognosis information; information on problem resolution through short-
term counseling, if applicable; date closed at the IHSO; information on
confirmed, unjustified positive drug tests; and client employee/family
member evaluations of services provided by the IHSOs. Records may also
include recommendations and referrals to community resources for long-
term counseling, treatment and/or rehabilitation programs beyond the
services provided by the USMS EAP/IHSOs, including referrals for other
assistance not related to financial concerns, or psychological or
medical health.
C. Other records included in the system (and which may be
duplicated in the USMS EAP and IHSO offices, where relevant, necessary,
and proper) are those obtained from specialized service providers
(SSPs) with the written consent of the subject individual.\2\
Generally, such records are limited to those which relate to attendance
at sessions, prognosis for recovery, motivation, and progress toward
recovery. However, where the record subject deems it necessary or
desirable to furnish additional records, such records could include:
Medical tests and screenings; treatment and rehabilitation plans as
well as behavioral improvement plans; notes and documentation on
counseling; and relevant information pertaining to assistance provided
on matters other than financial concerns, or psychological or medical
health.
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\2\SSPs are health service, community-based organizations, which
offer long-term treatment and rehabilitation services. The USMS EAP
and/or the IHSOs may recommend that the individual seek professional
assistance beyond that provided by the USMS EAP program contracted
out with the IHSOs. Where the individual chooses to pursue further
treatment, he may elect to provide the USMS EAP and/or the IHSOs
with such information as may be relevant to the back-to-work
agreement.
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42 U.S.C. 290dd, et seq. and 290ee, et seq.; 42 CFR 2.1, et seq.;
Executive Order 12564, 5 U.S.C. 3301 and 7901; 44 U.S.C. 3101 and Pub.
L. No. 100-71, Sec. 503 (July 11, 1987).
The EAP is a voluntary program designed to assist the employee in
obtaining necessary help in handling personal problem(s) affecting job
performance, and to provide emotional support and assistance during
periods of crises, including those arising from traumatic work-related
incidents. Records are maintained to document participation in the EAP
program; the nature and effects of the employee's personal problem(s);
and efforts to counsel the employee. Records may be used also to
monitor compliance with abeyance and back-to-work agreements made to
mitigate adverse actions based upon treatment.
In addition to those disclosures permitted by the Privacy Act
itself, 5 U.S.C. 552a(b),\3\ permissive disclosures, without individual
consent, are as follows:
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\3\To the extent that release of alcohol and drug abuse records
is more restricted than other records subject to the Privacy Act,
the USMS will follow such restrictions. See 42 U.S.C. 290dd and
290ee (and implementing regulations at 42 CFR part 2), and Public
Law 100-71, section 503.
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1. To the extent that it is appropriate, relevant, and necessary to
enable the IHSOs to perform counseling, referral and program
performance evaluation responsibilities, the USMS will provide those
records--identified in paragraph A. of the ``Category of Records in the
System'' (which are primarily administrative in nature) to the IHSOs
who, on behalf of the USMS, maintain and operate a portion of this
system of records--identified in paragraph B. of the same caption.
2. On behalf of the USMS, the IHSOs may disclose as follows: (a) To
the appropriate State or local agency or authority to the extent
necessary to comply with laws governing reporting incidents of
suspected child abuse or neglect, and (b) to Federal, State and/or
local authorities or to any other entity or person to the extent
necessary to prevent an imminent and potential crime which directly
threatens loss of life or serious bodily injury.
Information is stored in locked metal safes.
Records are retrieved by name of employee and, in limited cases,
immediate family members.
In accordance with the requirements of 42 CFR 2.16, USMS EAP and
IHSO records are stored in a secure enivronment. Access to USMS EAP
records is restricted to designated USMS EAP personnel, except as
otherwise permitted by law or with the written consent of the
individual. Vouchers prepared to effect payment for services rendered
by the IHSOs in performance of the contract do not contain individual
identifiers. Invoices prepared by IHSOs located outside the Washington,
DC metropolitan area are sent by first-class mail to the designated
member(s) of the local IHSO contracted by the USMS. In turn, invoices
or other records prepared in support of payment vouchers which contain
individual identifiers are hand-carried by the local IHSO to the EAP
Administrator who retains the supporting documentation. Records are
maintained in locked metal safes. Entry to headquarters is restricted
by 24-hour guard service to employees with official and electronic
identification.
Access to IHSO records is restricted to a designated member(s) of
the IHSO, except as otherwise provided by law or with the written
consent of the individual. IHSO records are stored in locked files
also.
Records are retained for three years after the individual ceases
contact with the USMS EAP and/or the IHSO unless a longer retention
period is necessary because of pending administrative or judicial
proceedings. In such cases, the records are retained for six months
after the case is closed. At that time the records are destroyed by
shredding (General Records Schedules 26 and 36).
Employee Assistance Program Administrator, Employee Assistance
Office, Employee Relations Division, United States Marshals Service,
600 Army Navy Drive, Arlington, Virginia, 22202-4210.
Same as ``Record Access Procedures.''
Address all requests for access to USMS EAP records (identified in
paragraphs A. and C. of the ``Category of Records in the System,'') in
writing to the system manager identified above. Address all requests
for records maintained by the IHSOs (identified in paragraph B. of the
same caption) to these service providers. Addresses of these service
providers may be obtained by contacting the USMS Employee Assistance
Office. Clearly mark the envelope and letter ``Privacy Act Request.''
Clearly indicate the name of the requester, nature of the record
sought, and approximate date of the record. In addition, provide the
required verification of identity (28 CFR 16.41(d)) and a return
address for transmitting the information.
Direct all requests to contest or amend information in accordance
with the procedures outlined under ``Record Access Procedures.'' State
clearly and concisely the information being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Clearly mark the letter and envelope ``Privacy Act Amendment Request.''
Records are generated by the employee who is the subject of the
record; USMS EAP personnel; the IHSO and SSP; the USMS personnel
office; and the employee's supervisor. In the case of a confirmed,
unjustified positive drug test, records may also be generated by the
staff of the Drug-free Workplace Program and the Medical Review
Officer.
None.
[FR Doc. 94-10403 Filed 4-29-94; 8:45 am]
BILLING CODE 4410-01-M
