Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Notices 10569

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.

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
10570 Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Notices

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 crossindexed 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
Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Notices 10571

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

Centers for Disease Control and

Prevention

Advisory Committee for Injury

Prevention and Control: Meeting

In accordance with section 10(a)(2) of

the Federal Advisory Committee Act

(Pub. L. 92–463), the Centers for Disease

Control and Prevention (CDC)

announces the following committee

meeting.

Name: Advisory Committee for Injury

Prevention and Control (ACIPC).

Times and Dates: 2 p.m.–4 p.m., March 24,

1997. 8:30 a.m.–3:30 p.m., March 25, 1997.

Place: The Ritz-Carlton, Atlanta

(Downtown), 181 Peachtree Street, NE,

Atlanta, Georgia 30303.

Status: Closed: 2 p.m.–3 p.m., March 24,

1997, and 8:30–9 a.m., March 25, 1997;

Open: 3 p.m.–4 p.m., March 24, 1997, and 9

a.m.–3:30 p.m., March 25, 1997.

Purpose: This committee makes

recommendations regarding policies,

strategies, objectives, and priorities, and

reviews progress toward injury prevention

and control. The Committee provides advice

on the appropriate balance and mix of

intramural and extramural research,

including laboratory research, and provides

guidance on intramural and extramural

scientific program matters, both present and

future, particularly from a long-range

viewpoint. The Committee provides secondlevel scientific and programmatic review for

applications for research grants, cooperative

agreements, and training grants related to

injury control and violence prevention, and

recommends approval of projects that merit

further consideration for funding support.

The Committee recommends areas of

research to be supported by contracts and

provides concept review of program

proposals and announcements.

Matters to be Discussed: The meeting will

convene in closed session from 2 p.m. to 3

p.m. on March 24, 1997. The purpose of this

closed session is for the Science and Program

Review Work Group to consider Injury

Control Research Center grant applications

recommended for further consideration by

the CDC Injury Research Grant Review

Committee. On March 25, 1997, from 8:30

a.m. to 9 a.m., the meeting will convene in

closed session in order for the full Committee

to vote on a funding recommendation. These

portions of the meeting will be closed to the

public in accordance with provisions set

forth in section 552(c)(4) and (6) title 5

U.S.C., and the Determination of the

Associate Director for Management and

Operations, CDC, pursuant to Public Law 92–

463. Following the closed session there will

be discussions on future grant program

announcements, ad hoc committee reports,

and updates on further progress on standing

Work Group issues. The Committee will also

discuss (1) an update from the Director,

National Center for Injury Prevention and

Control (NCIPC); (2) Safe America:

Advancing the Initiative; and (3) a report

from the Science and Program Review Work

Group which will include reports on the

motor vehicle programmatic review and

poison control centers.

Agenda items are subject to change as

priorities dictate.

Contace Person for More Information: Mr.

Thomas A. Blakeney, Acting Executive

Secretary, ACIPC, NCIPC, CDC, 4770 Buford

Highway, NE, M/S K61, Atlanta, Georgia

30341–3724, telephone 770/488–1481.

Dated: March 4, 1997.

Carolyn J. Russell,

Director, Management Analysis and Services

Office, Centers for Disease Control and

Prevention (CDC).

[FR Doc. 97–5818 Filed 3–6–97; 8:45 am]

BILLING CODE 4163–18–P

Administration for Children and

Families

Proposed Information Collection

Activity; Comment Request

Proposed Projects

Title: Detailed Case Data Component

(DCDC) of the National Child Abuse and

Neglect Data System.

OMB No.: 0980–0256.

Description: The Detailed Case Data

Component of the National Child Abuse

and Neglect Data System compiles

automated case-level data on child

maltreatment investigated by State child

protective services agencies. Data are

collected on reports of abuse and

neglect, characteristics of victims, risk

factors associated with victims and their

families, and the development of polices

and programs relating the child abuse

and neglect at the National, State and

local levels.

Respondents: State, Local or Tribal

Govt.

Annual Burden Estimates

Instrument Number of

respondents

Number of

responses per respondent

Average burden

hours per response Total burden hours

DCDC ............................................................................... 56 1 110 6,160

Estimated Total Annual Burden Hours: 6,160.

In compliance with the requirements

of Section 3506(c)(2)(A) of the Paper

work Reduction Act of 1995, the

Administration for Children and

Families is soliciting public comment

on the specific aspects of the

information collection described above.

Copies of the proposed collection of

information can be obtained and

comments may be forwarded by writing

to the Administration for Children and

Families, Office of Information Services,

Division of Information Resource

Management Services, 370 L’Enfant

Promenade, SW., Washington, DC

20447, Attn: ACF Reports Clearance

Officer. All requests should be

identified by the title of the information

collection.

The Department specifically requests

comments on: (a) Whether the proposed

collection of information is necessary

for the proper performance of the

functions of the agency, including

whether the information shall have

practical utility; (b) the accuracy of the

agency’s estimate of the burden of the

proposed collection of information; (c)

the quality, utility, and clarity of the

information to be collected; and (d)

ways to minimize the burden of the

collection of information on

respondents, including through the use

of automated collection techniques or

other forms of information technology.

Consideration will be given to