[Federal Register Volume 65, Number 192 (Tuesday, October 3, 2000)]
[Notices]
[Pages 58999-59002]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-25293]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Privacy Act of 1974; New System of Records

AGENCY: Workplace Violence Prevention Team, Office of Human Resources, 
Office of the Assistant Secretary for Management and Budget, Office of 
the Secretary, HHS.

ACTION:  Notification of a new system of records.

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SUMMARY: In accordance with the requirements of the Privacy Act, HHS is 
giving notice that it is publishing a notice of a new system of 
records, 09-90-1200, ``Workplace Violence Prevention Team Records.'' We 
are also proposing routine uses for this new system.

DATES: OHR invites interested parties to submit comments on the 
proposed internal and routine uses on or before November 13, 2000. OHR 
sent a Report of a New System to the Congress and to the Office of 
Management and Budget (OMB) on September 20, 2000. The new system of 
records will be effective 40 days from the date submitted to OMB unless 
OHR receives comments that would result in a contrary determination.

ADDRESSES: Address comments to the Privacy Act Officer, Office of the 
Secretary, 200 Independence Avenue, SW, Room 645F, Washington, DC 
20201. Comments received will be made available for public inspection 
at the above address during normal business hours, 8:30 a.m.-5 p.m.

FOR FURTHER INFORMATION CONTACT: Workplace Violence Prevention Team 
Leader, Work and Family Program, 330 C Street, SW, Room 1250, 
Washington, DC 20201. Telephone number is 202-690-1441 or 202-690-8229. 
These are not toll-free numbers.

SUPPLEMENTARY INFORMATION: The Office of Human Resources (OHR) proposes 
to establish a new system of records: 09-90-1200, ``Workplace Violence 
Prevention Team Records.'' This system of records will be used by 
members of the HHS Workplace Violence Prevention Teams (WVPT) to assist

[[Page 59000]]

employees who contact them for assistance with an actual or potential 
workplace violence situation. The records of the system will be used 
to: (1) Administer health programs related to workplace violence 
prevention activities; (2) administer and support safety programs that 
help reduce accidents and injuries among employees; (3) monitor or 
follow up on violent or potentially violent situations in HHS: (4) help 
WVPT members make assessments of violent or potentially violent 
situations and then make recommendations regarding interventions to 
those persons involved with the situations; (5) prepare administrative 
reports, conduct evaluations, or audit the activities of the team; and 
(6) inform management, medical personnel and security staff in HHS of 
potential and actual dangerous situations that require their actions to 
assure the safety and health of employees.
    The system will contain records on each person who contacts the 
teams for assistance. It will also contain records on individuals who 
are being interviewed and investigated by the teams. The records will 
typically contain demographic data such as the individual's name, pay 
plan, grade level, employing organization, office location, duty hours, 
telephone number and name of supervisor. Information will also be 
maintained about the workplace violence situations concerning those who 
contact the teams. This will include descriptions of events related to 
the workplace violence situations, others involved, as well as dates 
and locations of events. Each record will also contain an assessment of 
the situation by the WVPT, information regarding any interviews that 
were conducted, and the recommended interventions. If an individual is 
being interviewed because of another person's report, the record may 
also contain information that was obtained through interviews with the 
supervisor, Federal or local law enforcement personnel, HHS security 
staff, co-workers, and any others involved in the situation.
  

AUTHORITIES FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7901 (Health Services Programs);
    5 U.S.C. 7902 (Safety Programs).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The routine uses proposed for this system are compatible with the 
stated purposes of the system, i.e., administer health programs related 
to workplace violence; administer and support safety programs that help 
reduce accidents and injuries; monitor or follow up on violent or 
potentially violent situations in HHS; make assessments of violent or 
potentially violent situations and recommendations regarding 
interventions; prepare administrative reports, evaluations and audit 
activities; and inform management, medical personnel and security staff 
in HHS of potential or actual dangerous situations that require action 
to assure the safety and health of employees.
    The WVPT will disclose relevant information to third parties 
outside the Department as follows: Routine Use 1: To a congressional 
office when it has received a written inquiry from an individual about 
whom a record is maintained in this system. This request will be 
verified before disclosure from the individual's record will be made to 
the congressional office. Routine Use 2: When a person or property is 
harmed, or when threats of harm to a person or property are reported, 
disclosure will be made, as appropriate, to law enforcement 
authorities, medical treatment authorities, and those persons being 
threatened or harmed. Routine Use 3: To the Department of Justice, a 
court or other tribunal, when: (a) HHS, or any component, thereof; 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 or has interest in such 
litigation, and HHS determines that the use of such records by the 
Department of Justice, the court or other tribunal is relevant and 
necessary to the litigation and would help in the effective 
representation of the governmental party, provided, however, that in 
each case HHS determines that such disclosure is compatible with the 
purpose for which the records are collected. The local System Manager 
will approve any disclosure made under this routine use. Routine Use 4: 
To student volunteers, interns, individuals working under a personal 
services contact, organizations working under 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 to perform their assigned duties. This includes those 
performing threat or risk assessments. The contractor will be required 
to maintain Privacy Act safeguards with respect to such records. These 
safeguards are explained in the section entitled ``Safeguards.'' 
Routine Use 5: To qualified personnel for research, audit, or 
evaluation purposes.

SAFEGUARDS:
    The OHR has instituted extensive safeguards to protect both the 
automated and non-automated records. The Systems Security Officer has 
certified that the safeguards for the system are commensurate with the 
sensitivity and criticality of the records. The system notice 
describes: (1) The safeguards that are in effect to ensure that only 
authorized users have access to the records; (2) the physical security 
measures used to protect the records; (3) the procedural safeguards to 
ensure data integrity and prevent unauthorized access and disclosure; 
and (4) security guidelines for contractors, as applicable.
    The system notice is written in the present rather than future 
tense to avoid the unnecessary expenditure of public funds to republish 
the notice after the new system becomes effective.

    Dated: September 27, 2000.
Evelyn White,
Deputy Assistant Secretary for Human Resources, ASMB.
09-90-1200

SYSTEM NAME:
     Workplace Violence Prevention Team (WVPT) Records, HSS/OS/ASMB/
OHR.

SECURITY CLASSIFICATION:
     None.

SYSTEM LOCATION:
     Records are located throughout HHS in offices designated to 
provide workplace violence prevention services. Since there are 
numerous sites around the country available for these services, contact 
the appropriate system manager in Appendix A for more details about 
specific locations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
     Individuals covered by this system include: persons who report 
potential or actual workplace violence; persons accused of threatening 
to commit, or committing workplace violence; and persons interviewed or 
investigated in connection with reports or allegations of potential or 
actual workplace violence.

CATEGORIES OR RECORDS IN THE SYSTEM:
     This system contains written and electronic records on each person 
who contacts the WVPT for assistance. It also contains records on 
individuals who are

[[Page 59001]]

being interviewed and investigated by the WVPT. The records typically 
contain demographic data such as the individual's name, pay plan, grade 
level, employing organization, office location, duty hours, telephone 
number, and name of supervisor.
    Information is also maintained about the workplace violence 
situation that is concerning the person who contacts the WVPT. This 
includes descriptions of events related to the workplace violence 
situation, others involved, as well as dates and locations of events. 
Each record will also contain an assessment of the situation by the 
WVPT, information regarding any interviews that were conducted, and the 
recommended interventions.
    If the WVPT is interviewing a person because of someone else's 
report, the record of the person being interviewed may also contain 
information that was obtained through interviews with the supervisor, 
Federal or local law enforcement personnel, HHS security staff, co-
workers, and any others involved in the situation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7901 (Health Services Programs);
    5 U.S.C. 7902 (Safety Programs)

PURPOSE(s): The agency maintains this system of records to:
    1. Administer health programs related to workplace violence 
prevention activities;
    2. Administer and support safety programs that help reduce 
accidents and injuries among employees;
    3. Monitor or follow up on violent or potentially violent 
situations in HHS;
    4. Help WVPT members make assessments of violent or potentially 
violent situations and then make recommendations regarding 
interventions to those persons involved with the situations;
    5. Prepare administrative reports, conduct evaluations, or audit 
the activities of the teams; and
    6. Inform management, medical personnel and security staff in HHS 
of potential and actual dangerous situations that require action to 
assure the safety and health of employees.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    These records or information from these records may be released:
    1. To a congressional office when it has received a written inquiry 
from an individual about whom a record is maintained in this system. 
This request will be verified before disclosure from the individual's 
record will be made to the congressional office.
    2. When a person or property is harmed, or when threats of harm to 
a person or property are reported, disclosure will be made, as 
appropriate, to law enforcement authorities, medical treatment 
authorities, and those persons being threatened or harmed.
    3. To the Department of Justice, a court or other tribunal, when: 
(a) HHS, or any component, thereof; 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 or has interest in such litigation, and HHS determines 
that the use of such records by the Department of Justice, the court or 
other tribunal is relevant and necessary to the litigation and would 
help in the effective representation of the governmental party, 
provided, however, that in each case HHS determines that such 
disclosure is compatible with the purpose for which the records are 
collected. The local System Manager will approve any disclosure made 
under this routine use.
    4. To student volunteers, interns, individuals working under a 
personal services contract, organizations working under 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 to perform their assigned duties. This includes 
those performing threat or risk assessments. Contractors will be 
required to maintain Privacy Act safeguards with respect to such 
records. These safeguards are explained in the section entitled 
``Safegiards.''
    5. To qualified personnel for research, audit, or evaluation 
purposes.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    These records are maintained in file folders and on password-
protected computers, and computer disks. Folders and computer disks, 
when not in use, are stored in a secured area accessible only to 
members of the WVPT.

RETRIEVABILITY:
    These records are retrieved by employee name (those who reported a 
violent or potentially violent event and those who were reported), 
event date, and event location.

SAFEGUARDS:
    1. Authorized Users: Access to these records is limited to members 
of the WVPT. Others working with the WVPT, such as outside consultants, 
when approved by the team, may have access for the purpose of 
investigating a situation, preparing reports, or conducting evaluations 
and audits.
    2. Physical Safeguards: All paper records are stored in metal 
filing cabinets equipped with locks, preferably combination. The file 
cabinets are stored in secure areas with access limited to the WVPT 
members. Computer records are stored on disks or computers that are 
password protected or are systems discreet from other computer systems. 
Disks are stored in the same manner as paper records.
    3. Procedural Safeguards: Information will only be released from 
this system of records in accordance with the routine uses described 
above or as provided by the Privacy Act's disclosure provisions. Those 
who are serviced by the WVPT will be informed in writing about the 
WVPT's confidentiality procedures when they begin the process. 
Consultants must not disclose records. Secondary disclosure of 
information is prohibited unless permitted by a routine use or other of 
the Privacy Act's disclosure provisions.
    4. Contractor Guidelines: Contractors who are given records under 
routine use #3 must maintain the records in a secured area, allow only 
those individuals immediately involved in the processing of the records 
to have access to them, prevent unauthorized persons from gaining 
access to the records, and return records to the System Managers 
immediately upon completion of the work specified in their contracts. 
Contractor compliance is assured through inclusion of Privacy Act 
requirements in contract clauses, and through monitoring by contract 
and project officers. Contractors who maintain records are instructed 
to make no disclosure of the records except as authorized by the System 
Managers and as stated in the contracts.

RETENTION AND DISPOSAL:
    Records are destroyed two years after the incident/situation has 
been closed by the WVPT or until any litigation/third party action 
about it has been resolved. Files will be destroyed only by a WVPT team 
member and with a witness present. Paper records will be destroyed by 
shredding or burning. Information stored on computers will be destroyed 
by deleting all appropriate portions of floppy disks, hard drives, 
tapes, and other electronic media that may contain the record. 
Consultant and

[[Page 59002]]

contractor records will be transferred to the local WVPT for 
destruction.

SYSTEM MANAGER(S) AND ADDRESS:
    The records of individuals served by the WVPT are managed by local 
System Managers in the various HHS sites listed in Appendix A.

NOTIFICATION PROCEDURES:
    For purposes of notification, the subject individual, and/or the 
individual's legal representative should write to the local System 
Manager who will require the system name, requestor name, address, and 
Social Security Number to ascertain whether the individual's record is 
in the system.

RECORD ACCESS PROCEDURES:
    For purposes of access, use the same procedures outlined in 
Notification Procedures above. Requestors must also reasonably specify 
the record contents being sought. (These procedures are in accordance 
with Department regulation 45 CFR 5b.5(a)(2).)

CONTESTING RECORD PROCEDURES:
    The subject individual shall contact the System Manager and 
reasonably identify the record and specify the information being 
contested. State the corrective action sought (addition to, deletion 
of, or substitution of) and the reasons for the correction with 
supporting justification. (These procedures are in accordance with 
Department regulation 45 CFR 5b.7.)

RECORD SOURCE CATEGORIES:
    Information in this system of records is supplied by the individual 
contacting the WVPT, this individual's coworkers (including the 
supervisor), a member of the individual's family, sources to/from whom 
the individual has been referred for assistance, Departmental officials 
involved in the situation (such as security staff), or other sources 
involved with the situation and its resolution.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
    None.

Appendix A

    1. For employees in the Southwest DC area, contact: Workplace 
Violence Prevention Team Leader, PSC Work/Life Center, 330 C Street, 
SW, Room 1250, Washington, DC 20201.
    2. For employees on the MIH Campus in Bethesda, MD, contact: 
Critical Incidents Violence Intervention League (CIVIL) Team Leader, 
OHRM/OD, 31 Center Drive, Room 1C39, Bethesda, MD 20892.
    3. For employees at HCFA headquarters in Baltimore, MD, contact: 
Crisis Management Team Leader, 7500 Security Boulevard, Room S1-23-27, 
Baltimore, MD 21244.
    4. For employees at CDC headquarters in Atlanta, GA, contact: 
Crisis Management Team Chair, Associate Director for Management and 
Operations, 1600 Clifton Road, NE, MS-D15, Atlanta, GA 30333, or, 
Crisis Management Team Co-Chair, Employee Relations Specialist, 4770 
Buford Highway, MS-K17, Atlanta, GA 30341-3274.
    5. For employees in SAMHSA, contact: SAMHSA Crisis Intervention 
Team Leader, SAMHSA, Division of Human Resources Management, 5600 
Fishers Lane, Room 14C17, Rockville, Maryland 20857, 301-443-4006.

[FR Doc. 00-25293 Filed 10-2-00; 8:45 am]
BILLING CODE 4150-04-M