INTERIOR/DOI-04, Employee Assistance Program Records

64 FR 20011 (April 23, 1999); Modification published 73 FR 8342 (February 13, 2008) and 86 FR 50156 (September 7, 2021)
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DEPARTMENT OF THE INTERIOR
 
Office of the Secretary
 
Privacy Act of 1974; As Amended; Revisions to an Existing System of Records
 
AGENCY:  Office of the Secretary, Department of the Interior.
 
ACTION:  Proposed revisions to an existing system of records.
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SUMMARY:  In accordance with the Privacy Act of 1974, as amended (5 U.S.C. 552a), the Office of the Secretary is issuing public notice of its intent to modify an existing Privacy Act system of records notice, USGS-04, “Employee Assistance Program Records.” The revisions will update the name and number of the system, the system storage and safeguards statements, and the address of the system managers.
 
EFFECTIVE DATE:  5 U.S.C. 552a(e)(11) requires that the public be provided a 30-day period in which to comment on the intended use of the information in the system of records. The Office of Management and Budget, in its Circular A-130, requires an additional 10-day period (for a total of 40 days) in which to make these comments. Any persons interested in commenting on this revised system of records may do so by submitting comments in writing to the Office of the Secretary Privacy Act Officer, U.S. Department of the Interior, National Business Center, MS-1414 MIB, 1849 C Street NW, Washington, DC 20240. Comments received within 40 days of publication in the Federal Register will be considered. The system will be effective as proposed at the end of the comment period unless comments are received which would require a contrary determination.
 
FOR FURTHER INFORMATION CONTACT:  Director, Office of Personnel Policy, U.S. Department of the Interior, 1849 C Street NW, MS-5221 MIB, Washington, DC 20240.
 
SUPPLEMENTARY INFORMATION:  The Department of the Interior is proposing to amend the system notice for USGS-04, “Employee Assistance Program Records,” to expand the scope of the system notice from bureau-wide to Department-wide coverage. In the process, it will update the name and number of the system to more accurately reflect its new Department-wide scope, update the storage and safeguards statements to account for those records that are maintained in automated format, and add the addresses of the system managers for the Departmental office and the remainder of the bureaus. Accordingly, the Department of the Interior proposes to amend the “Employee Assistance Program Records,” USGS-04, system notice in its entirety to read as follows:
 
Sue Ellen Sloca,
Office of the Secretary, Privacy Act Officer, National Business Center.
 
 
INTERIOR/DOI-04
 
SYSTEM NAME: 
Employee Assistance Program Records--Interior, DOI-04.
 
SYSTEM LOCATION:
Records are located with the contractors providing counseling services under the Employee Assistance Program (EAP).
 
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 
Employees of the Department of the Interior and their families who seek, are referred to, and/or receive assistance through the Employee Assistance Program.
 
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system include documentation of visits to employee counselors (Federal, State, local government, or private), the problem assessment, the recommended plan of action to correct the major issue, referral to community or private resource for assistance with personal problems, referral to community or private resource for rehabilitation or treatment, results of referral, and other notes or records of discussions held with the employee made by the Employee Assistance Program counselor. Additionally, records in this system may include documentation of treatment by a therapist or at a Federal, State, local government, or private institution.
 
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 
42 U.S.C. 290dd-1; 42 U.S.C. 290ee-1.
 
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
These records are used by an Employee Assistance Program Counselor to document the nature of an individual's problem and progress made to solve the problem. The primary uses of these records are:
  • (1)  For the Employee Assistance Program counselor to document the nature of an individual's problem and progress made to solve the problem.
  • (2)  To record an individual's participation in and the results of community or private referrals for solution of problems, rehabilitation, or treatment programs. These records and the information in them information may be used to disclose information to qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation, but such personnel may not identify, directly or indirectly, any individual patient in any report or otherwise disclose patient identities in any manner. (When such records are provided to qualified researchers employed by the Department of the Interior, all patient identifying information will be removed). Note: Disclosure of information pertaining to an individual with a history of alcohol or drug abuse must be limited in compliance with the restrictions of the confidentiality of Alcohol and Drug Abuse Patient Records Regulations, 42 CFR part 2. Disclosure of records pertaining to the physical and mental fitness of employees are, as a matter of Department policy, afforded the same degree of confidentiality.
  • (3)  To appropriate agencies, entities, and persons when: 
    • (a) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; and 
    • (b) The Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interest, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and
    • (c) The disclosure is made to such agencies, entities and persons who are reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
  • (4) To another Federal agency or Federal entity, when DOI determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in:
    • (a) Responding to a suspected or confirmed breach; or
    • (b) 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, resulting from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
 
STORAGE:
Records maintained in paper format are stored in file folders. Records maintained in electronic format are stored on disk and on other appropriate media.
 
RETRIEVABILITY:
Records are retrieved by the name of the individual receiving assistance.
 
SAFEGUARDS:
Access to records is strictly limited to those persons employed by the contractors who are directly involved in the alcohol and drug abuse prevention function of the Department as that term is defined in 42 CFR, part 2. Paper format records are maintained in locked metal file cabinets in secured rooms. Electronic records are maintained with safeguards meeting the security requirements of 43 CFR 2.51.
 
RETENTION AND DISPOSAL:
Records are retained and disposed of in accordance with approved agency schedules. (These include the U.S. Geological Survey's Bureau Records Disposition Schedule, RCS/Item 405-04 a and b.)
 
SYSTEM MANAGER(S) AND ADDRESS:
  • (1)  Departmental office: Team Leader, Employee and Labor Relations Group, Office of Personnel Policy, U.S. Department of the Interior, 1849 C Street NW, MS-5221 MIB, Washington, DC 20240.
  • (2)  Bureau offices:
    • (a)  Director of Administration, Bureau of Indian Affairs, Division of Personnel Management, 1951 Constitution Avenue NW, Washington, DC 20245.
    • (b)  Chief, Branch of Employee/Labor Management Relations, Office of Personnel, U.S. Geological Survey, 601 National Center, Reston, Virginia 2019
      • —  Atlanta Personnel Officer, U.S. Geological Survey, 3850 Holcomb Bridge Rd, Norcross, Georgia 30092.
      • —  Rolla Personnel Officer, U.S. Geological Survey, 1400 Independence Road, Rolla, Missouri 65401.
      • —  Chief, Employee Relations Section, Central Region Personnel Branch, U.S. Geological Survey, Denver Federal Center, Denver, Colorado 80225.
      •  —  Western Region EAP Administrator, Employee Relations and Development Section, Western Region Personnel Branch, 345 Middlefield Road, Menlo Park, California 94025.
    • (c)  Personnel Officer, U.S. Fish and Wildlife Service, Division of Personnel Management and Organization, 1849 C Street NW, Washington, DC 20240.
    • (d)  Labor Relations Officer, Bureau of Reclamation, PO Box 25001, Denver, CO 80225.
    • (e)  Personnel Officer, Bureau of Land Management, Division of Personnel (530), 1849  C Street NW, Washington, DC 20240.
    • (f)  Personnel Officer, National Park Service, Division of Personnel, Branch of Labor Management Relations, 1849 C Street NW, Washington, DC 20240.
    • (g)  Personnel Officer, Minerals Management Service, Personnel Division, 1110 Herndon Parkway, Herndon, VA 22070.
    • (h)  Personnel Officer, Office of Surface Mining, Division of Personnel, 1951 Constitution Avenue NW, Washington, DC 20245.
NOTIFICATION PROCEDURES:
An individual requesting notification of the existence of records on him or her should address his/her request to the appropriate System Manager. The request must be in writing, contain the individual's name and date of birth, and be signed by the requestor, as required by 43 CFR 2.60.
 
RECORD ACCESS PROCEDURES:
An individual requesting access to records maintained on him or her should address his/her request to the appropriate System Manager. The request must be in writing, be signed by the requestor, and comply with the Department's Privacy Act Regulations regarding verification of identity and access to records as required by 43 CFR 2.63.
 
CONTESTING RECORD PROCEDURES:
An individual requesting amendment of a record maintained on him or her should address his/her request to the appropriate System Manager. The request must be in writing, be signed by the requestor, and comply with the Department's Privacy Act Regulations regarding verification of identity and amendment of records as required by 43 CFR 2.71.
 
RECORD SOURCE CATEGORIES:
Information in this system of records comes from the individual to whom it applies, the supervisor of the individual if the individual was referred by a supervisor, the Employer Assistance Program staff member who records the counseling session, and the therapists or institutions used as referrals or providing treatment.
 
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.

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