This section of the FEDERAL REGISTER

contains documents other than rules or

proposed rules that are applicable to the

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section.

Notices Federal Register

3067 

Vol. 87, No. 13 

Thursday, January 20, 2022 

AGENCY FOR INTERNATIONAL 

DEVELOPMENT 

Privacy Act of 1974; System of 

Records 

AGENCY: Agency for International for 

Development (USAID). 

ACTION: Notice of new privacy act 

system of records. 

SUMMARY: The United States Agency for 

International Development (USAID) 

proposes to establish a new Agencywide system of records entitled, 

Employee Assistance Program (EAP) 

Records. The purpose of publishing this 

Agency-wide notice is to meet federal 

requirements and promote consistent 

maintenance of USAID EAP records. 

EAP is a voluntary program, 

administered by USAID’s Staff Care 

Wellness Program, designed to assist 

EAP clients in obtaining help with a 

wide range of personal and work-related 

issues or concerns that may affect job 

performance and their overall physical 

and mental fitness. 

DATES: Submit comments on or before 3 

February 2022. This modified system of 

records will be effective 3 February 

2022 upon publication. The Routine 

Uses are effective at the close of the 

comment period. 

ADDRESSES: You may submit comments: 

Electronic 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions on the website for 

submitting comments. 

• Email: Privacy@usaid.gov. 

Paper 

• Fax: 202–916–4946. 

• Mail: Chief Privacy Officer, United 

States Agency for International 

Development, 1300 Pennsylvania 

Avenue NW, Washington, DC 20523. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Celida A. Malone, USAID Privacy 

Program at United States Agency for 

International Development, Bureau for 

Management, Office of the Chief 

Information Officer, Information 

Assurance Division: ATTN: USAID 

Privacy Program, 1300 Pennsylvania 

Avenue NW, Washington, DC 20523, or 

by phone number at 202–916–4605. 

SUPPLEMENTARY INFORMATION: USAID is 

establishing this new system of records 

notice to document the records 

collected and maintained by staff of the 

USAID EAP program concerning EAP 

clients, and to allow for the tracking of 

the EAP client’s progress and 

participation in the EAP or EAP-related 

community programs. EAP is a 

voluntary program designed to assist 

EAP clients in obtaining help with a 

wide range of personal- and workrelated issues or concerns that may 

affect job performance and their overall 

physical and mental fitness. 

SYSTEM NAME AND NUMBER: 

USAID–35 Employee Assistance 

Program (EAP) Records. 

SECURITY CLASSIFICATION: 

Sensitive but Unclassified. 

SYSTEM LOCATION: 

Harting EAP Corporate Office, 4972 

Benchmark Centre Drive Suite 200, 

Swansea, IL 62226. 

SYSTEM MANAGER(S): 

Supervisory Social Worker, Staff Care 

Center, Office of Human Capital and 

Talent Management, United States 

Agency for International Development, 

Ronald Reagan Building, 1300 

Pennsylvania Avenue NW, Washington, 

DC 20523. Email: staffcarecenter@

usaid.gov. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Title 5 United States Code (U.S.C.) 

Section (§ ) 7901—Health Service 

Programs, and Public Law 79–658; 42 

U.S.C. 290dd–1, 290ee–1; 42 U.S.C. 

290dd–2; 5 U.S.C. 7361 and 7362, The 

Federal Employee Substance Abuse 

Education and Treatment Act of 1986, 

and Title 5 Code of Federal Regulations 

(CFR) Part 792; Public Laws 96–180 and 

96–181; Public Law 79–658; Executive 

Order 12564; 44 U.S.C. 3101; 5 CFR part 

792, Federal Employees’ Health, 

Counseling, and Work/Life Programs, 

Subpart A42; CFR part 2, 

Confidentiality of Substance Use 

Disorder Patient Records; Public Law 

100–71, 101 Stat. 4711, as amended, 

Program Supplementals; Public Laws 

96–180 and 96–181. 

Diverse laws and policies require 

USAID to maintain the confidentiality 

of an employee, to the extent permitted 

by law. These include: 

• 42 CFR part 2 

• The Privacy Act of 1974 

• State laws, especially those 

covering child and elder abuse reporting 

• Professional association standards 

and codes of ethics. 

PURPOSE(S) OF THE SYSTEM: 

This system will maintain 

information collected and/or generated 

for the provision of services by USAID 

Staff Care. USAID Staff Care promotes a 

range of programs, services, and 

resources designed to bolster the 

resilience, wellness, and work-life 

balance of USAID’s workforce and their 

family members. The information 

contained in this system will be used to 

monitor the EAP client’s progress and 

participation in the EAP or EAP-related 

community programs (such as support 

groups, Alcoholics Anonymous, etc.). 

EAP is a voluntary program that 

provides cost-free and confidential 

assessment, short-term counseling, 

referral, and follow-up services to its 

clients who experience personal and/or 

work-related challenges that may affect 

attendance, work performance, and/or 

conduct. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

USAID employees and their eligible 

family members, who seek and/or 

receive assistance through, or are 

referred by their supervisors or other 

Agency officials for assistance through 

the EAP. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

This system contains records on 

USAID Staff Care clients. Records may 

contain the following information: 

• Client Contact Information, 

including: Name, Employee 

Identification Numbers, Job Title/Series, 

Grade, Home/Work Address, Home/ 

Work Telephone Number, and 

Emergency Contact of EAP Clients. 

• Client Sociodemographic 

Information, including: Date of Birth, 

Race, Gender, Sexual Orientation, 

Marital Status, Relationship of Family 

Member to USAID employee. 

• Employment information, 

including: Employment history, records 


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related to work performance or conduct 

issues, such as records of referrals, leave 

usage, supervisory/organizational 

interventions. 

• Treatment Records, including: 

Counselor Intake forms, consultation 

notes, treatment plans, treatment 

recommendations, referrals to thirdparty service providers. Referrals may 

include those to community-based 

resources, treatment facilities and/or 

organizations 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(es), prognosis(es), 

treatment, and evaluation, along with 

follow-up data that may be generated by 

the community program providing the 

relevant services. Written consent forms 

are used to permit the disclosure of 

information outside the EAP. 

• Records related to Substance Abuse 

Testing and Treatment, including: drug 

and alcohol test results, evaluations, 

treatment and rehabilitation plans, 

records of referrals and other 

information that may be generated by 

USAID’s Drug-Free Workplace Program 

or treatment facilities from which the 

EAP client may be receiving treatment. 

• Service Provider Information, 

including: Account Number, Contractor 

Billing Information, Insurance 

Information and Government Payments 

Note 1: Listed below are other types of 

records that contain information about 

employee health and fitness, which are 

not covered by this system of records. 

Such records are covered by a 

government-wide system of records 

(OPM/GOVT–10), which is managed by 

the U.S. Office of Personnel 

Management. Records covered by OPM/ 

GOVT–10 include: 

• Medical records, forms, and reports 

completed or obtained when an 

individual applies for a Federal job and 

is subsequently employed 

• Medical records, forms, and reports 

completed during employment as a 

condition of employment, either by the 

USAID or by another State or local 

government entity, or a privacy sector 

entity under contract to USAID 

• Records pertaining to and resulting 

from drug screening for use of illegal 

drugs under Executive Order 12564 

• Reports of on-the-job injuries and 

medical records, forms, and reports 

generated as a result of the filing of a 

claim for Workers Compensation. 

RECORD SOURCE CATEGORIES: 

Information contained in this system 

is obtained from: 

• The individual to whom the 

information pertains 

• The individual’s supervisors or 

coworkers 

• Medical staff who have examined, 

tested, or treated the individual 

• Laboratory reports and test results 

• Employee’s bargaining unit 

• Other external sources who provide 

relevant information to facilitate the 

provision of services by the EAP 

contractor. 

In the case of drug abuse counseling, 

records may also be generated by those 

administering USAID’s Drug-Free 

Workplace Program. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

PURPOSES OF SUCH USES: 

The confidentiality of services 

provided through EAP is strictly 

maintained. In addition to those 

disclosures generally permitted under 5 

U.S.C. 552a(b), relevant records or 

information in this system may be 

disclosed without the EAP client 

consent as follows: 

(a) To law enforcement officers to 

report information directly related to an 

EAP client’s commission of a crime on 

the premises of the EAP program or 

against EAP program personnel or a 

threat to commit such a crime, provided 

that the disclosure is limited to the 

circumstances of the incident, including 

the client status of the individual 

committing or threatening to commit the 

crime, that individual’s name and 

address, and that individual’s last 

known whereabouts. 

(b) To appropriate State or local 

authorities to report, where required 

under State law, incidents of suspected 

child, elder, or domestic abuse or 

neglect. 

(c) To any person or entity to the 

extent necessary to prevent an imminent 

crime which directly threatens loss of 

life or serious bodily injury. 

(d) To an authorized designee 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. 

(e) To contractors or authorized EAP 

community health care providers 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 or provider to perform his or 

her evaluation, counseling, treatment, 

and rehabilitation responsibilities. 

(f) To contractors and their agents, 

grantees, experts, consultants, and 

others (e.g., providers contracted to 

provide Staff Care services to USAID 

employees and their family members) 

performing or working on a contract, 

service, grant, cooperative agreement, or 

other assignment for USAID, when 

necessary to accomplish an Agency 

function related to this system of 

records. Individuals provided 

information under this routine use are 

subject to the same Privacy Act 

requirements and limitations on 

disclosure as are applicable to USAID 

officers and employees. 

(g) To Medical or Emergency 

Response Personnel to the extent 

necessary to meet a bona fide medical 

emergency. 

(h) To a Federal, State or local agency, 

professional licensing authority, or 

other appropriate entities as required to 

ensure the professional responsibility 

requirements are met by EAP 

employees. 

(i) To a court, magistrate, or other 

administrative body in the course of 

presenting evidence, including 

disclosures to counsel or witnesses in 

the course of civil discovery, litigation, 

or settlement negotiations or in 

connection with criminal or 

administrative proceedings, when the 

USAID is a party to the proceeding or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary. 

(j) To appropriate agencies, entities, 

and persons when: (1) USAID suspects 

or has confirmed that there has been a 

breach of the system of records; (2) 

USAID has determined that as a result 

of the suspected or confirmed breach, 

there is a risk of harm to individuals 

(including its information systems, 

programs, and operations), the Federal 

Government, or national security; and 

(3) the disclosure made to such 

agencies, entities, and persons is 

reasonably necessary to assist in 

connection with USAID’s efforts to 

respond to the suspected or confirmed 

breach or to prevent, minimize, or 

remedy such harm. 

(k) To another federal agency or 

federal entity, when USAID determines 

that the information from the system of 

records is reasonably necessary to assist 

the recipient agency or entity in: (1) 

Responding to a suspected or confirmed 

breach; or (2) preventing, minimizing, or 

remedying the risk of harm to 

individuals, the recipient agency or 

entity (including its information 

systems, programs, and operations), the 

Federal Government, or national 

security, that might result from a 

suspected or confirmed breach. 

(l) To the National Archives and 

Records Administration (NARA) for the 

purposes of records management 

inspections conducted under the 


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authority of Sections 2904 and 2906 of 

Title 44 of the U.S.C. and in its role as 

Archivist. 

Note 2: To the extent that disclosure 

of substance abuse patient records is 

more restricted than disclosure of other 

EAP records, the EAP staff will follow 

such restrictions. See 42 U.S.C. 290dd– 

2; 42 CFR part 2. Similarly, nothing in 

these routine uses should be construed 

as authorizing a disclosure which is 

prohibited under State law; nor may any 

State law either authorize or compel any 

disclosure of substance abuse patient 

records not encompassed by this Notice 

and governing EAP regulations. (See 42 

CFR 2.20.) 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

USAID stores records in this system 

in electronic format and paper format. 

Records in paper format are stored in 

file folders in locked cabinets. Records 

in electronic format are kept in a userauthenticated and password-protected 

computerized database system. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

USAID EAP staff indexes and 

retrieves records by the name of the EAP 

client or by an identifying case number 

that is cross-indexed to the EAP client’s 

name. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

USAID follows NARA-approved 

records retention schedule. EAP 

records, regardless of the storage 

medium and whether or not an 

employee has terminated employment 

with the Agency, are retained during 

their useful life in accordance with 

General Records Schedule 2.7, 

Employee Health and Safety Records. 

• Records not related to performance 

or conduct. These records are destroyed 

seven (7) years after termination of 

counseling for adults, or three (3) years 

after a minor reaches the age of majority, 

or when the State-specific statute of 

limitations has expired for contract 

providers subject to State requirements. 

• Records related to employee 

performance or conduct. These records 

are destroyed once the employee has 

met condition(s) specified by agreement 

or adverse action or a performancebased action case file has been initiated. 

Only the EAP Director or equivalent 

may destroy or dispose of EAP records 

and must have at least one witness 

present when paper records are 

destroyed, or electronic records are 

deleted. The witness must be an Agency 

employee familiar with handling 

confidential records. Whenever 

possible, witnesses should be other EAP 

staff members. All EAP records must be 

destroyed and/or deleted using Agencyapproved disposal procedures. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

USAID EAP personnel maintain 

Internal EAP records. Access to USAID 

buildings where records are located is 

restricted by 24-hour electronic 

identification. 

For Paper Records: USAID secures 

records in lockable metal filing cabinets 

within a locked room when not in use. 

Access to these records are strictly 

limited to authorized USAID EAP 

personnel. Only the case number 

appears on the file label. The file is 

cross-referenced with a separately 

secured list with a corresponding name 

and case number. 

For Electronic Records: USAID EAP 

personnel store and password-protect 

electronic records in a userauthenticated, USAID-issued computer 

and/or a USAID-approved, 

computerized database system. These 

records are maintained separately from 

other systems of record. Access to these 

electronic records is strictly limited to 

authorized USAID EAP personnel. 

USAID EAP contractors are also 

required to maintain all USAID EAP 

client records with similar safeguards to 

ensure the security and confidentiality 

of EAP records and to protect against 

any anticipated threats or hazards to 

their security or integrity which could 

result in substantial harm, 

embarrassment, inconvenience, or 

unfairness to any individual on whom 

information is maintained. 

All persons having access to these 

records shall be 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 threats of physical harm, 

medical emergencies, and suspected 

child abuse, 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 released 

information is prohibited without client 

consent. 

RECORD ACCESS PROCEDURES: 

Under the Privacy Act, individuals 

may request access to records about 

themselves. These individuals must be 

limited to citizens of the United States 

or aliens lawfully admitted for 

permanent residence. If a Federal 

Department or Agency or a person who 

is not the individual who is the subject 

of the records, requests access to records 

about an individual, the written consent 

of the individual who is the subject of 

the records is required. 

Individuals seeking access to 

information about themselves contained 

in this system of records should address 

inquiries to the Bureau for Management, 

Office of Management Services, 

Information and Records Division (M/ 

MS/IRD), USAID Annex—Room 2.4.0C, 

1300 Pennsylvania Avenue NW, 

Washington, DC 20523. The requester 

may complete and sign a USAID Form 

507–1, Certification of Identity Form or 

submit signed, written requests that 

should include the individual’s full 

name, current address, telephone 

number, and this System of Records 

Notice number. In addition, the 

requester must provide either a 

notarized statement or an unsworn 

declaration made in accordance with 28 

U.S.C. 1746, in the following format: 

• If executed outside the United 

States: ‘‘I declare (or certify, verify, or 

state) under penalty of perjury under the 

laws of the United States of America 

that the foregoing is true and correct. 

Executed on (date). (Signature).’’ 

• If executed within the United 

States, its territories, possessions, or 

commonwealths: ‘‘I declare (or certify, 

verify, or state) under penalty of perjury 

that the foregoing is true and correct. 

Executed on (date). (Signature).’’ 

CONTESTING RECORD PROCEDURES: 

See Section 3.20 above, Record 

Access Procedures. Individuals may 

also contact the appropriate EAP System 

of Records Manager at the USAID Staff 

Care email address: staffcarecenter@

usaid.gov to: (i) Request access, contest, 

or amend a notification of records; and 

(ii) to determine the location of 

particular EAP records created by 

contractors on behalf of USAID, or 

maintained by contractors at the 

contractor’s location. 

NOTIFICATION PROCEDURES: 

See Section 3.20 above, Record 

Access Procedures. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

None. 

Celida Ann Malone, 

Government Privacy Task Lead. 

[FR Doc. 2022–00988 Filed 1–19–22; 8:45 am] 

BILLING CODE 6116–01–P 


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