Privacy Act of 1974; Revision to Existing System of Records

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary

Privacy Act of 1974; Revision to Existing System of Records

AGENCY: Employee Assistance Program, Office of the Assistant Secretary

for Management and Budget, Office of the Secretary, HHS.

ACTION: Notice of revision of Privacy Act systems of records.

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SUMMARY: In accordance with the Privacy Act, HHS is giving notice that

it is revising one of its system of records, 09-90-0010, Employee

Assistance Program, HHS/OS/ASMB. It was most recently published on

August 11, 1992. The notice is being revised to clarify certain

procedures, and update the list of system managers. Records in this

system contain information on employees Assistance Program (EAP). It

also contains information on employees and their family members from

other federal agencies that are contracting with HHS EAPs.

EFFECTIVE DATE: This amendment modifies the language of the routine

uses but does not change them in substance. Although there is no

substantive change, the modified language for the routine uses will

take effect April 7, 1997, unless comments are received that result in

a different conclusion. Other aspects of this amendment are effective

on March 7, 1997.

FOR FURTHER INFORMATION CONTACT: EAP Team Leader, Office of Human

Resources, Room 5-36E, 200 Independence Avenue, SW., Washington, DC

20201. Telephone number (202) 690-8229 or (202) 690-7954.

SUPPLEMENTARY INFORMATION: Some procedure in the previous notice needed

further clarification to assure consistent handling of records. In

addition, this notice reflects the re-organization of HHS and the

resulting changes to the system managers.

The notice is published below in its entirety, as amended.

Dated: December 30, 1996.

Eugen Kinlow,

Deputy Assistant Secretary for Human Resources

09-90-0010

SYSTEM NAME:

Employee Assistance Program (EAP) Records, HHS/OS/ASMB/OHR.

SYSTEM LOCATION:

Office designated to provide counseling and/or other EAP services

for employees of HHS and their family members and employees of other

federal agencies contracting with HHS for EAP services and their family

members. Since there are thousands of counselors available to provide

EAP services, contact the appropriate system manager in Appendix 1 for

more details about specific locations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system covers the records of any HHS employee and their family

member(s) using the services of the EAP. It also covers the records of

any other federal employee and their family member(s) whose agency has

contracted with HHS for EAP services. (The remainder of this notice

will refer to all persons covered by the system as ``EAP client(s)''.)

CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains a written or electronic record on each EAP

client. These record typically contain demographic data such as client

name, date of birth, grade, job title, home address, telephone numbers,

and supervisor's name and telephone number. The system includes records

of services provided by HHS staff and services provided by contractors.

Certain clinical information is also normally maintained in each

record including a psychosocial history, assessment of personal

problem(s), information regarding referrals to facilities in the

community, and all intervention outcomes.

If the client was referred to the EAP by a supervisor due to work

performance or conduct problems or if there is anther reason to be

concerned about these issues, the record may contain information such

as leave usage, work quality, inappropriate behavior, and reason for

referral. It may also contain information about previous and on-going

supervisory/organizational interventions to correct the problem.

When the client was referred to the EAP because of a positive drug

or alcohol test (as required by the drug-free workplace provisions or

Department of Transportation regulations), the record will also contain

information about substance abuse assessment, treatment, aftercare, and

substance use monitoring results.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 7361, 7362, 7901, 7904; 44 U.S.C. 3101.

PURPOSES:

The information contained in each record is a documentation of the

nature and extent of the client's problem(s). This information is

necessary for the clinician to formulate and implement an intervention

plan for resolving the problem(s). When the intervention plan includes

referral(s) to the treatment or other facilities outside the EAP, the

record also documents this referral information.

The information contained in each record is also used for

monitoring the client's progress in resolving the problems(s).

Anonymous information from each record is also used to prepare

statistical reports and conduct research that help with program

management.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

(1) HHS contemplates that it will contract with a private

organization, individual, or other group such as an EAP consortium, for

the purpose of providing EAP services for HHS employees and their

family members and/or for employees of other Federal agencies and their

family members. Relevant records will be disclosed to, as well as

created and maintained by these contractors.

(2) HHS may disclose information from this system of records for

litigation purposes when

(A) HHS, or any of its components, or

(B) Any HHS employee in his or her official capacity, or

(C) Any HHS employee in his or her individual capacity where the

Department of Justice (or HHS, where it is authorized to do so) has

agreed to represent the employee, or

(D) The United States or any agency thereof where HHS determines

that the litigation is likely to affect HHS or any of its components

is a party to litigation, and HHS determines that such use of records

is relevant and necessary to the litigation and would help in the

effective representation of the government party. The disclosure may be

made to the Department of Justice. Except where the records are covered

by the Confidentiality of Alcohol and Drug Abuse Patient Records

regulations, 42 CFR part 2, the disclosure may be made to a court or

other tribunal, or to another party before such tribunal. Any

disclosure of records covered by 42 CFR part 2 must be pursuant to a

qualified service organization agreement that meets the requirements of

that part and must also comply with all other aspects of those

regulations. The EAP Team Leader (in ASMB) must personally approve any

disclosure made under this routine use based on his or her

determination that it is compatible with

[[Page 10570]]

the purpose for which the records were collected.

(3) Records may be disclosed to student volunteers, individuals

working under a personal services contract, and other individuals

performing functions for the Department but technically not having the

status of agency employees, if they need access to the records in order

to perform their assigned agency functions.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored in written folders, computers, and on index type

cards. The are stored according to a number of physical safeguards

described below.

RETRIEVABILITY:

Records are retrieved by a case code number, unique to the client

utilizing the program. These numbers are cross-indexed by name.

SAFEGUARDS:

(1) Authorized users: Access to these records is limited to EAP

Administrators who work directly with clients of the program and their

immediate staffs (including counselors, secretaries, and contract or

consortia administrators, counselors or secretaries). HHS EAP

Administrators and HHS EAP headquarters staff in OS/ASMB/OHR as well as

EAP Administrators and Coordinators from other federal agencies who

contract with HHS, whether or not they directly provide clinical

services, may have access to the records for the purposes of program

evaluation, destroying records at the end of the period of maintenance,

and transferring records from one contractor to another.

(2) Physical safeguards: All records are stored in metal filing

cabinets equipped with at least combination locks, and preferably

locking crash bars. These file cabinets are in secured areas,

accessible only to EAP staff, and are locked when not in use. Computers

containing records are discrete from other computer systems and/or are

password protected. Computers are also stored in secured areas,

accessible only to the EAP staff. Records are always maintained

separate from other systems of record.

(3) Procedural safeguards: All persons having access to these

records shall already have been 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

medical emergencies, 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 information

which was released is prohibited without client consent.

RETENTION AND DISPOSAL:

Records are retained until three years after the client has ceased

contact with the EAP or until any litigation is finally resolved. This

will be true whether or not the client has terminated employment with

HHS or another agency contracting with HHS for EAP services.

Some HHS EAPs provide Substance Abuse Professional evaluations as

part of Department of Transportation regulations. These records will be

retained for five years after contact with the program has ceased or

any litigation is completed.

Files on HHS employees and their family members will be destroyed

only by an HHS EAP Administrator, with a witness present, and only

after the required period of maintenance. The witness must be an HHS

employee familiar with handling confidential records and, whenever

possible, another EAP staff member. This includes electronic deletions.

Written records will be destroyed by shredding or burning.

Records located away from the EAP Administrator's site shall be

transferred to the EAP Administrator in the confidential manner

required by HHS and GSA policies. The case coding number of the

destroyed record will be maintained on a list of other destroyed case

coding numbers. No other information about EAP clients may be

maintained once these files have been destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

The records of individuals participating in the EAP are managed by

the EAP Administrators in the various regional and headquarters offices

(Appendix 1).

NOTIFICATION PROCEDURES

If an HHS employee and/or family member wishes to inquire about his

or her record, a written inquiry should be addressed to the HHS system

manager responsible for the area where the counseling was provided (see

Appendix 1). The individual should provide his or her name,

organization where employed, date of birth, location of counseling, and

approximate date of counseling. If a third party is making the request,

a written consent from the client must accompany the request.

If an inquiry is made from an employee and/or family member from

another federal agency serviced by the HHS EAP, a written inquiry shall

be made using the same procedures described above. If the agreement to

obtain services from HHS has terminated, the request should be made

through the designated EAP representative at the other Federal agency.

In some limited situations, an EAP record is considered a medical

record. A client who requests notification or access to a medical

record shall, at the time the request is made, designate in writing a

responsible individual who would be willing to review the record. Upon

receiving a request, the EAP Administrator shall weigh the need for

disclosure against the potential injury to the EAP client, to other

affected persons, to the physician-patient relationship, and to the

treatment services. The EAP Administrator will then determine whether

to disclose the record directly to the client or to the designated

individual. If disclosed to the designated individual, he or she will

inform the client of its content but only at his or her discretion.

RECORD ACCESS PROCEDURES:

Same as notification procedures. Requesters should also reasonably

specify the record contents being sought.

CONTESTING RECORD PROCEDURES:

Contact the EAP Administrator at the address found in Appendix 1,

and reasonably identify the record and specify the information to be

contested. State the corrective action sought and the reasons for the

correction.

RECORD SOURCE CATEGORIES:

Information in this system of records is: (1) Supplied directly by

the individual using the program, or (2) supplied by a member of the

employee's family, or (3) derived from information supplied by the

employee, or (4) supplied by sources to/from whom the individual has

been referred for assistance, or (5) supplied by Department officials

(including drug testing officers), or (6) supplied by EAP counselors,

or (7) supplied by other sources involved with the case.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

Appendix 1

All Regional Offices (except CDC and NIH)

Employee Assistance Program Team Leader, Office of the Secretary,

ASMB, HHS EAP

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Headquarters, 200 Independence Avenue, SW, Room 5-35E, Washington,

DC 20201

Centers for Disease Control and Prevention

CDC Employee Assistance Program Administrator, Personnel Management

Office, 1600 Clifton Road, NE, Mail Stop K17, Atlanta, GA 30333

Southwest Complex

Employee Assistance Program Administrator, Program Support Center,

330 C Street, SW, Room 1036 Washington, DC 20201

Health Care Financing Administration

HCFA Employee Assistance Program Administrator, 7500 Security

Boulevard, C2-15-05, Baltimore, MD 21244

National Institutes of Health

NIH Employee Assistance Program Administrator, Building 31, Room

1C02, 9000 Rockville Pike, Bethesda, MD 20892

Parklawn/Hyattsville Complex

Employee Assistance Program Team Leader, Office of the Secretary,

ASMB, HHS EAP Headquarters, 200 Independence Avenue, SW, Room-35E,

Washington, DC 20201

[FR Doc. 97-5571 Filed 3-6-97; 8:45 am]

BILLING CODE 4150-04-M