N.Y. Labor Law § 537: Disclosures prohibited

§ 537. Disclosures prohibited. 1. a. Unemployment insurance

information. (i) Unemployment insurance information is information

contained in the records of the department pertaining to the

administration of this article, including information obtained by the

department from employers and employees pursuant to this article. The

term includes wage reporting information obtained by the department from

the state department of taxation and finance pursuant to subdivision

four of section one hundred seventy-one-a and paragraph four of

subsection (a) of section six hundred seventy-four of the tax law. It

further includes information in the state directory of new hires that

has been disclosed to the department for use in the unemployment

insurance program. Such information does not include the personnel or

general fiscal information of the department or information in the

public domain.

(ii) For purposes of this paragraph, the term public domain means: (A)

information about the department and the unemployment insurance appeal

board; (B) information about applicable state and federal law, rules and

regulations pertaining to unemployment insurance, including

interpretations thereof and statements of general policy and

interpretations of general applicability but excluding investigative

manuals and procedures pertaining to unemployment insurance; and (C) any

agreements relating to the administration of this article.

Notwithstanding the foregoing, nothing in this subdivision shall be

construed to limit, restrict, or abrogate the department's right to deny

access to any records pursuant to the provisions of the public officers

law.

b. Use of unemployment insurance information. Unemployment insurance

information shall be for the exclusive use and information of the

commissioner in the discharge of his or her duties under this chapter

and shall not be open to the public nor be used in any court in any

action or proceeding pending therein unless the commissioner is a party

to such action or proceeding, or such action or proceeding involves

information provided pursuant to paragraph g of subdivision three of

this section, notwithstanding any other provisions of law. Such

information insofar as it is material to the making and determination of

a claim for benefits or to adjudicating a claim for benefits shall be

available to the parties affected and, in the commissioner's discretion,

may be made available to the parties affected in connection with

effecting placement.

c. Disclosure of unemployment insurance information to an individual

or employer. (i) The department may disclose unemployment insurance

information about an individual to such individual or unemployment

insurance information about an employer to such employer. As a condition

to making such disclosure, the department shall require a written

authorization to disclose such information from the individual or

employer in a form acceptable to the department together with such proof

of identity or authorization to act on behalf of the individual or

employer as the commissioner shall deem appropriate. Notwithstanding the

foregoing, except as may otherwise be authorized under paragraph b of

this subdivision, this paragraph shall not be construed to authorize the

department to disclose information acquired from an employer under this

article to an individual or information acquired from an employee under

this article to an employer.

(ii) Nothing in this subdivision shall be construed to prohibit the

disclosure of the wage reporting information obtained by the department

from the department of taxation and finance pursuant to subdivision four

of section one hundred seventy-one-a and paragraph four of subsection

(a) of section six hundred seventy-four of the tax law pertaining to an

individual to such individual or pertaining to an employer to such

employer.

d. Disclosure upon informed consent. (i) The department may disclose

unemployment insurance information about an individual or an employer to

an agent of such individual or employer, or to a third party, on the

basis of informed consent received from such individual or employer. An

informed consent from an individual shall not be construed to authorize

the department to disclose information acquired from an employer under

this article to an agent or third party identified in an individual's

informed consent nor to authorize the department to disclose information

acquired from an individual under this article to the agent or third

party identified in the employer's informed consent. Nothing in this

subdivision shall be construed to prohibit the disclosure of the wage

reporting information obtained by the department from the department of

taxation and finance pursuant to subdivision four of section one hundred

seventy-one-a and paragraph four of subsection (a) of section six

hundred seventy-four of the tax law pertaining to an individual to the

agent or third party identified in the individual's informed consent or

pertaining to an employer to the agent or third party identified in the

employer's consent.

(ii) Informed consent shall consist of a written release from the

individual or employer to whom the information pertains. Where a written

release is impossible or impracticable to obtain, the department may

accept an informed consent from a representative acceptable to the

department, including but not limited to a conservator, guardian, or

executor or administrator of a decedent's estate, together with such

documentation as the department deems necessary, including but not

limited to orders of appointment or letters of administration, to

establish the right of the representative to act on the individual's

behalf. An informed consent must include a statement:

(A) specifically identifying the information that is to be disclosed;

(B) acknowledging that department files will be accessed to obtain the

information;

(C) identifying the specific purpose or purposes for which the

information is sought, subject to the limitations on such purpose or

purposes set forth in subparagraph (iii) of this paragraph, and

indicating that information obtained under the release will only be used

for that purpose or purposes; and

(D) identifying all the parties who may receive the information

disclosed pursuant to the consent.

(iii) The purpose specified in the release must be limited to

providing a service or benefit to the individual signing the release

that such individual expects to receive as a result of signing the

release or for the purpose of carrying out administration or evaluation

of a public program to which the release pertains.

e. Funding for disclosure of requested unemployment insurance

information. Except as permitted under applicable federal law or

regulation, or as otherwise authorized by agreement between the

department and the United States Department of Labor, federal

unemployment insurance grant funds shall not be used to pay for any of

the costs incurred by the department in processing and handling a

request for disclosure of unemployment information made under this

article.

2. Violations of the confidentiality provisions of this section. Any

person, who, without authority of the commissioner or as otherwise

required by law, shall disclose information in violation of the

confidentiality provisions of this section, upon conviction, shall be

guilty of a misdemeanor.

3. Exceptions. The commissioner may, however, disclose the information

described in subdivisions one and four of this section under the

following circumstances:

a. Federal law. The commissioner shall report fully and completely to

the appropriate agency of the United States on the effect and

administration of this article in the manner prescribed by such agency,

and further he or she shall make information available, upon request, to

any federal, state or local agency entitled to such information under

the social security act or any other federal law in the manner

prescribed by such federal law or its implementing regulations.

b. Chief administrator of the courts; commissioners of jurors; county

clerks; chief judges of United States district courts; clerks of the

court or jury administrators of the United States district courts.

(i) The commissioner shall provide lists of the names of persons

receiving unemployment insurance benefits to the chief administrator of

the courts, appointed pursuant to section two hundred ten of the

judiciary law. The lists shall be provided for the sole purpose of

integration into lists of prospective jurors as provided by section five

hundred six of the judiciary law. The chief administrator of the courts

shall upon request provide information from the lists to the

commissioner of jurors in each county or, in a county within a city

having a population of one million or more, the county clerk of said

county, solely for the purpose of compiling lists of prospective jurors

for the appropriate county. The lists of persons receiving unemployment

insurance benefits shall be provided only pursuant to a cooperative

agreement between the chief administrator of the courts and the

commissioner that is consistent with all federal regulations or

requirements governing such disclosures and guarantees that all

necessary steps shall be taken by the chief administrator of the courts,

the commissioners of jurors and the county clerks to insure that the

lists are kept confidential and that there is no unauthorized use or

disclosure of such lists. Furthermore, the lists will be provided only

if the chief administrator of the courts determines that the lists are

needed for integration into lists of prospective jurors in one or more

counties.

(ii) The commissioner shall provide lists of the names of persons

receiving unemployment insurance benefits to the chief judge of any

United States district court in New York State, appointed pursuant to

title twenty-eight of the United States Code, section one hundred

thirty-six. The lists shall be provided for the sole purpose of

integration into lists of prospective jurors in such United States

district court. The chief judge of such district court shall upon

request provide information from the lists to the clerk of the court or

jury administrator of such United States district court, solely for the

purpose of compiling lists of prospective jurors for such district

court. The lists of persons receiving unemployment insurance benefits

shall be provided only pursuant to a cooperative agreement between the

chief judge of such district court and the commissioner that is

consistent with all federal regulations or requirements governing such

disclosures and guarantees that all necessary steps shall be taken by

the chief judge of the district court, the clerk of the court or jury

administrator of such district court to insure that the lists are kept

confidential and that there is no unauthorized use or disclosure of such

lists. Furthermore, the lists will be provided only if the chief judge

of such district court determines that the lists are needed for

integration into lists of prospective jurors in such district.

c. Nothing herein shall be construed to prohibit the delivery of

unemployment benefit information contained in the department's records

to the secretary of health and human services of the United States or

the state agency responsible for collecting such information, in

accordance with regulations promulgated by such secretary, as necessary

for the purposes of the national directory of new hires as established

under section four hundred fifty-three A of the social security act, as

added by section three hundred thirteen of the personal responsibility

and work opportunity reconciliation act of 1996, P.L. 104-193.

d. (i) Nothing herein shall be construed to prohibit the disclosure

quarterly, to the secretary of health and human services of the United

States or the state agency responsible for collecting such information,

claim information contained in the department's records, as required by

section four hundred fifty-three A of the social security act

(establishing the national directory) as amended by section three

hundred thirteen of the personal responsibility and work opportunity

reconciliation act of 1996, P.L. 104-193. Such claim information is to

be used only for the purposes of section four hundred fifty-three A of

the social security act in carrying out child support enforcement

programs. Costs of furnishing such claim information shall be reimbursed

consistent with federal law and regulations.

(ii) For the purpose of this paragraph the term "claim information"

means information regarding whether an individual is receiving, has

received, or has made application for, unemployment insurance benefits,

the amount of such benefits being received or to be received and the

individual's most recent address contained in the department's records.

e. Nothing herein shall be construed to prohibit the disclosure of

claim information as defined in subparagraph (ii) of paragraph d of this

subdivision to the "state directory of new hires," as established under

section one hundred seventy-one-h of the tax law as amended, and to the

state office of temporary and disability assistance for disseminating to

support collection units designated by social services districts or

their duly authorized agents for all purposes designated by the personal

responsibility and worker opportunity reconciliation act of 1996, public

law 104-193. The cost of providing such claim information shall be

reimbursed consistent with federal law and regulations.

f. United States census bureau. Upon request to the commissioner, such

information may be disclosed to the United States census bureau for

statistical analyses related to population and employment measurements

and trends. The confidentiality of such information shall be protected

by subdivisions one and two of this section and title thirteen of the

United States Code and subject to the terms of a written agreement

between the United States census bureau and the commissioner.

g. Federal, state and local agencies. (i) Upon request to the

commissioner, such information may be disclosed to certain federal,

state and local agencies. The commissioner may require written

agreements with requesting agencies in a form determined by the

commissioner and consistent with 20 CFR 603 and other federal

regulations. The information that may be disclosed pursuant to this

paragraph shall be disclosed only after the requesting agency has

demonstrated, to the commissioner's satisfaction, that the information

shall be kept confidential, except for those purposes for which it was

provided to the requesting agency, and that the requesting agency has

security safeguards in place to prevent the unauthorized disclosure of

such information.

(ii) The information disclosed pursuant to this paragraph may be

disclosed to the following agencies to be used exclusively for the

following legitimate governmental purposes:

(1) any federal, state or local agency in the investigation of fraud

relating to public programs, or misuse of public funds;

(2) any state or United States territorial workforce agency, local

workforce investment board and its agents, and one-stop operating

partner receiving funds under the workforce investment act of 1998 for

program performance purposes and other legitimate programmatic purposes

authorized by the commissioner;

(3) the United States department of labor or its agents, as required

by law, or in connection with the requirements imposed as a result of

receiving federal administrative funding;

(4) state and local economic development agencies, or their agents,

where such information is necessary to carry out the statutory functions

of such agencies, shall receive a quarterly census of employment and

wage information compiled by the department, provided that such

disclosure shall not violate federal law. Any redisclosure of

information obtained by such agencies under this clause shall be limited

to tabulation and publication of such information in an aggregated

statistical form. No individual identifying information obtained

pursuant to this clause shall be redisclosed in the course of the

tabulation or publication. As used in this clause, the term "aggregated

statistical form" shall mean, in the case of information regarding

individuals, a data set that includes information about not fewer than

ten individuals, and, in the case of employer information, a data set

that includes information about no fewer than three employers, of which

no one employer comprises more than eighty percent of the aggregated

data set; and

(5) the workers' compensation board, the state insurance fund and the

state department of financial services, for purposes of determining

compliance with the coverage of workers' compensation and disability

insurance and to the workers' compensation board for purposes of

determining eligibility for workers' compensation benefits.

(6) any federal, state, or local law enforcement agency in accordance

with a proper judicial order or grand jury subpoena served upon the

department.

(7) the office of temporary and disability assistance, or local social

services districts, for purposes of establishing or verifying the income

and eligibility of applicants for, or recipients of, benefits under

state public assistance programs for such benefits. Information obtained

by the office of temporary and disability assistance under this clause

shall not be disclosed, except to local social services districts for

purposes of establishing or verifying the income and eligibility of

applicants for, or recipients of, benefits under state public assistance

programs.

(8) the office of vocational and educational services for individuals

with disabilities of the education department for the evaluation of the

effect on earnings of participants, or former participants, in

employment and training programs for which the office of vocational and

educational services for individuals with disabilities of the education

department has reporting, monitoring or evaluating responsibilities.

(9) the commission for the blind for the evaluation of the effect on

earnings of participants, or former participants, in employment and

training programs for which the commission for the blind has reporting,

monitoring or evaluating responsibilities.

(10) any other federal, state, or local governmental agency, including

the state university of New York, the city university of New York, and

any of their constituent units, or the agents or contractors of a

governmental agency, where such information is to be used for (A)

evaluation of program performance, including, but not limited to,

longitudinal outcome analysis of programs (including programs funded by

public or private moneys or a combination thereof) to the extent

permitted by federal law; (B) financial or other analysis required by

federal, state, or local law or regulation; (C) preparation of reports

required by federal, state, or local law or regulation; (D) operation of

public programs by such agencies, their agents, contractors and

subcontractors, whenever the commissioner determines that such

information sharing is for the purpose of improving the quality or

delivery of program services or to create operational efficiencies; or

(E) establishment of common case management systems between federal,

state, or local agencies delivering or supporting workforce services for

a shared customer base, wherever such common case management system is

for the purpose of fostering workforce partnerships, program

coordination, inter-agency collaboration, improving program services, or

creating operational efficiencies. Any redisclosure of information

obtained by such agencies, their agents, or their contractors under this

clause shall be limited to tabulation and publication of such

information in an aggregated statistical form, except when an agency,

its agent, its contractor or other agency must exchange such information

for an authorized purpose as provided for in the written agreement

required by 20 CFR Part 603. No individual identifying information

obtained pursuant to paragraph d of subdivision one of this section

shall be redisclosed in the course of the tabulation or publication. As

used in this clause, the term "aggregated statistical form" shall mean,

in the case of information regarding individuals, a data set that

includes information about no fewer than ten individuals, and, in the

case of employer information, a data set that includes information about

no fewer than three employers, of which no one employer comprises more

than eighty percent of the aggregated data set. When the commissioner

approves a requested disclosure of information for the purposes of a

longitudinal study, the commissioner shall allow such information to be

used for a specified period of time as provided for in the written

agreement required by 20 CFR Part 603. Such agreement may only provide

for information to be used for a period of up to ten years but may be

renewed for additional periods of time.

(11) (A) Pursuant to clause ten of this subparagraph, the commissioner

shall electronically post in a place accessible by the general public

(i) the minimum conditions for granting a request from governmental

agencies for disclosure of information, (ii) a standard application for

submitting requests for disclosure of unemployment insurance information

in individually identifiable form in accordance with paragraph d of

subdivision one of this section, in de-identified unit level form, or

aggregated statistical form, (iii) the timeframe for information request

determinations by the commissioner, such that within twenty business

days of receiving a request, the commissioner shall either approve or

deny the request or ask for additional information; within twenty

business days of receiving a request for additional information, the

requesting agency shall respond to the commissioner, and; within thirty

calendar days of receiving the additional information, the commissioner

shall provide a final approval or denial of the request, and (iv)

contact information for assistance with requests for disclosure of

information.

(B) Any approval or denial pursuant to clause ten of this subparagraph

shall be in writing. Denials shall identify the reason or category of

reason for the denial.

(C) The commissioner shall issue guidelines regarding the development

of agreements with respect to disclosures approved pursuant to clause

ten of this subparagraph, and such guidelines shall include, but not be

limited to, the process and timeframe for developing such agreements and

the terms therein consistent with 20 CFR Part 603 and other federal

regulations.

h. Department contractors, subcontractors, or agents. The department

may disclose unemployment insurance information to its contractors,

subcontractors, or agents as the commissioner deems necessary to carry

out the statutory functions of the department. Such disclosure shall be

consistent with the authorized purposes described in subdivision four of

this section and all applicable federal regulations, guidelines and

policies.

i. Payment to the department for disclosure of requested unemployment

insurance information. (1) Except as permitted under applicable federal

law or regulation, or as otherwise authorized by agreement between the

department and the United States department of labor, federal

unemployment insurance grant funds shall not be used to pay for any of

the costs incurred by the department in processing and handling a

request for disclosure of unemployment information made under this

article. Such costs shall be calculated, collected, and administered by

the department consistent with applicable federal rules and guidelines

and shall be paid in advance of disclosure to the department by the

entity requesting the information or by another party acting on behalf

of such entity. Where the recipient is a public official, the department

may accept payment of costs by way of reimbursement.

(2) Costs paid under this paragraph shall be income of the state

unemployment insurance program and shall only be used as permitted under

the provisions of applicable federal regulations or guidelines governing

the assessment and expenditure of such costs.

4. Wage reporting information obtained by the department from the

state department of taxation and finance pursuant to subdivision four of

section one hundred seventy-one-a of the tax law, as added by chapter

five hundred forty-five of the laws of nineteen hundred seventy-eight,

and information obtained or derived from quarterly combined withholding,

wage reporting and unemployment insurance returns required to be filed

by employers pursuant to paragraph four of subsection (a) of section six

hundred seventy-four of the tax law shall be considered confidential and

shall be used for the administration of the unemployment insurance

program, employment services program, federal and state employment and

training programs, employment statistics and labor market information

programs, employer services program, worker protection programs, federal

programs for which the department has administrative responsibility or

for other purposes deemed appropriate by the commissioner under this

chapter. Such information shall not be disclosed to persons or agencies

other than those considered entitled to such information under the

social security act or other federal law, or as provided in subdivision

three of this section or when such disclosure is necessary for the

proper administration of the department's unemployment insurance

program, employment services program, employment and training programs,

worker protection programs, federal programs for which the department

has administrative responsibility or for other purposes deemed

appropriate by the commissioner under this chapter. Any reports

concerning employment and training programs submitted to a state or

federal agency shall also be submitted to the governor, the temporary

president of the senate, the speaker of the assembly and the chairs of

the labor committees in the senate and the assembly.

5. Withholding tax information obtained by the department from the

state department of taxation and finance pursuant to subsection (1) of

section six hundred ninety-seven of the tax law shall be confidential

and shall not be disclosed or redisclosed by any person or agency except

in accordance with the provisions of subsections (e) and (l) of section

six hundred ninety-seven of such law. When used for the purpose of

evaluating monitoring or reporting on the department's employment

security and training programs, access to such information shall be

limited to that which concerns individuals who applied to or

participated in such programs.

7. The department shall notify all applicants to, and participants in,

employment security and training programs for which the department has

reporting, monitoring or evaluating responsibilities that information

obtained from the department of taxation and finance may be used to

evaluate program effectiveness of up to ten years after such application

or participation, whichever is later.