Privacy Act of 1974; New System of Records

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]

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