[Federal Register Volume 65, Number 112 (Friday, June 9, 2000)]
[Notices]
[Pages 36718-36719]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-14616]



[[Page 36718]]

-----------------------------------------------------------------------

DEPARTMENT OF JUSTICE

[AAG/A Order No. 199-2000]


Privacy Act of 1974; System of Records

    The Department of Justice (DOJ), Justice Management Division (JMD), 
proposes to modify the Employee Assistance Program (EAP) Treatment and 
Referral Records, Justice/JMD-16. The primary purpose for establishing 
the system of records was to permit the standard medical practice of 
retaining and recording the mental health history of EAP clients, the 
rationale for the counseling and referral provided by the EAP counselor 
and to record the number of contacts made over time. The Department now 
proposes to modify the routine uses of records maintained in the system 
to reflect changes in program personnel, policy and procedures. The 
existing routine use allowing for disclosures to state or local 
authorities to report, where required under State law, incidents of 
child abuse or neglect, has been revised to include incidents of elder 
or domestic abuse or neglect. In addition, to reflect the fact that the 
Department refers EAP clients to contract counselors, the Notice adds a 
routine use allowing for the disclosure of records to such contractors. 
The Notice also adds a routine use permitting disclosures to any person 
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. Finally, the Notice adds a routine use allowing for 
disclosures to any person or entity to the extent necessary to meet a 
bona fide medical emergency. When this last routine use was suggested 
when the Department published its original EAP System of Records 
notice, it was eliminated based on the argument that exemption (b)(8), 
5 U.S.C. sec. 552a(b)(8), to the Privacy Act, already provided 
authority to make such disclosures. Recognizing that there is ambiguity 
in exemption (b)(8) as to whether records about an individual may be 
disclosed to a third person, we have added this routine use to clearly 
allow for such disclosures in medical emergencies.
    In addition, the Department is revising the System Location and 
System Manager and Address sections to reflect personnel changes, and 
updating the ``Storage'' and ``Retention'' sections to reflect a 
partial automation of the system.
    Title 5 U.S.C. sec. 552a(e)(4) and (11) provide that the public be 
given a 30-day period in which to comment on the proposed 
modifications. The Office of Management and Budget (OMB), which has 
oversight responsibility under the Act, requires a 40-day period in 
which to review the proposed modifications. Therefore, please submit 
any comments by 40 days from publication of this notice. The public, 
OMB and the Congress are invited to submit written comments to Mary 
Cahill, Management and Planning Staff, Justice Management Division, 
Department of Justice, Washington, DC 20530, (202) 307-1823.
    As required by 5 U.S.C. sec. 552a(r), the Department of Justice has 
provided a report on the proposed changes to OMB and the Congress.
    A modified system description is set forth below.

    Dated: June 1, 2000.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/JMD-016

System name:
    Employee Assistance Program (EAP) Counseling and Referral Records, 
Justice/JMD-016.

System location:
    Records are maintained by the JMD EAP staff. Interested parties 
wishing to correspond regarding records should direct their inquiries 
to the EAP System Manager, DOJ EAP and Worklife Group Assistant 
Director, Justice Management Division, U.S. Department of Justice, 950 
Pennsylvania Ave. NW, Washington, DC, 20530, or call (202) 514-1846.

Categories of individuals covered by the system:
    Current and former employees of the Offices, Boards, Divisions and 
occasionally Bureaus of the Department (as listed at 28 CFR 0.1), 
including the Office of the Inspector General, the Executive Office of 
the U.S. Trustees, the Executive Office for Immigration Review and the 
Office of Justice Programs, who have sought counseling or have been 
referred for counseling or treatment through the EAP. To the limited 
degree that counseling and referral may be provided to family members 
of these employees, these individuals are covered by the EAP System. 
The remainder of this notice will refer to all persons covered by the 
System as ``EAP client(s).'' Categories of records in the system:
    Records include any record, written or electronic, which may assist 
in diagnosing, evaluating, counseling and/or treating an EAP client, or 
resolving an EAP client's complaint or management's concerns 
(management consultation) regarding the EAP client's performance, 
attendance, or conduct problems. Included are the EAP counselor's 
intake/termination and outcome documents; case notes; pertinent 
psychosocial, medical and employment histories; medical tests or 
screenings, including drug and alcohol tests and information on 
positive drug tests generated by the staff of the Drug Free Workplace 
Program or treatment facilities from which the EAP client may be 
receiving treatment; treatment and rehabilitation plans; behavioral 
improvement plans; and records of referrals. Referrals include those to 
community treatment resources and social service agencies 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, prognosis, treatment and evaluation, together with follow-up 
data that may be generated by the community program providing the 
relevant services. Other records included in the system are the written 
consent forms used to permit the disclosure of information outside the 
EAP. Records may also include account information, such as contractor 
billings and government payments, when EAP services are provided by an 
EAP contractor.

Authority for maintenance of the system:
    42 U.S.C. sec. 290dd-2; 42 CFR part 2; 5 U.S.C. 3301, 7361, 7362, 
7901 and 7904; 44 U.S.C. 3101; Executive Order 12564; and Pub. L. 100-
71, 101 Stat. 391, sec. 503 (July 11, 1987).

Purpose:
    Records are maintained to document the work performed by the EAP on 
behalf of the EAP client and to allow for the tracking of the EAP 
client's progress and participation in the EAP or community programs. 
These records may also be used to track compliance with Abeyance or 
Last Change Agreements that include treatment options, in which the EAP 
is an integral part of establishing and/or monitoring treatment 
compliance as directed by the EAP client. Routine uses of records 
maintained in the system, including categories of users and purposes of 
such uses:
    In addition to those disclosures permitted by the Privacy Act 
itself, 5 U.S.C. sec. 552a(b), relevant information may be disclosed 
from this system of

[[Page 36719]]

records without EAP client consent as follows: \1\
    1. To appropriate State or local authorities to report, where 
required under State law, incidents of suspected child, elder or 
domestic abuse or neglect.
    2. To any person or entity to the extent necessary to prevent an 
imminent crime which directly threatens loss of life or serious bodily 
injury.
    3. To JMD contractors 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 to 
perform his or her counseling, treatment, rehabilitation, and 
evaluation responsibilities.
    4. To any person 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.
    5. To any person or entity to the extent necessary to meet a bona 
fide medical emergency.

Policies and practices for storing retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Information in this system is maintained on paper and computer 
discs which are stored in locked GSA-approved security containers.

Retrievability:
    Records are indexed and retrieved by identifying number or symbol, 
cross-indexed to EAP client names.

Safeguards:
    Paper records and computer discs are kept in locked GSA-approved 
security containers, and the computer discs are password protected. 
Only EAP staff will have access to the records. Records may be reviewed 
by any EAP staff member as may be needed to provide EAP services. No 
record may be released by the DOJ EAP staff without prior approval of 
the DOJ EAP System Manager.

Retention and disposal:
    Records are retained for three years after the EAP client ceases 
contact with the counselor (in accordance with General Records Schedule 
No. 1, Item No. 26) unless a longer retention period is necessary 
because of administrative or judicial proceedings. In such cases, the 
records are retained for six months after the conclusion of the 
proceedings. Paper records are destroyed by shredding, which must be 
performed by an EAP staff member. Computer discs are erased, degaussed 
or physically destroyed by an EAP staff member.

System manager and address:
    DOJ EAP and Worklife Group Assistant Director, Justice Management 
Division, U.S. Department of Justice 950 Pennsylvania Ave. NW, 
Washington, DC 20530, (202) 514-1846.

Notification procedure:
    Some as Record Access Procedures.

Record access procedures:
    Make all requests for access in writing to the EAP System Manager 
identified above. Clearly mark the envelope and letter ``Freedom of 
Information Act/Privacy Act Request.'' Provide the full name and 
notarized signature of the individual who is the subject of the record, 
the dates during which the individual was in counseling , any other 
information which may assist in identifying and locating the record, 
and a return address.

Contesting record procedures:
    Director all requests to contest or amend information to the EAP 
System Manager identified above. The request should follow the Record 
Access Procedures, listed above, and should state clearly and concisely 
the information being contested, the reason for contesting it, and the 
proposed amendment thereof. Clearly mark the envelope and letter 
``Freedom of Information Act/Privacy Act Request.''

Record source categories:
    Records are generated by EAP personnel, referral counseling and 
treatment programs or individuals, the EAP client who is the subject of 
the record, the personnel office and the EAP client's supervisor. In 
the case of drug abuse counseling, records may also be generated by the 
staff of the Drug-Free Workplace Program and the Medical Review 
Officer.

Exemptions claimed for this system:
    None.

[FR Doc. 00-14616 Filed 6-8-00; 8:45 am]
BILLING CODE 4910-CJ-M