N.Y. Workers' Compensation Law § 110-a: Confidentiality of workers' compensation records

§ 110-a. Confidentiality of workers' compensation records. 1.

Restrictions on disclosure. (a) Except upon the order or subpoena of a

court of competent jurisdiction, or subpoena of a law enforcement

agency, or subpoena properly issued under the authority of an

administrative agency, or in accordance with subdivision two or three of

this section, no workers' compensation record shall be disclosed,

redisclosed, released, disseminated or otherwise published by an

officer, member, employee or agent of the board to any other person.

(b) For purposes of this section, (i) "record" means a claim file, a

file regarding an injury or complaint for which no claim has been made,

and/or any records maintained by the board in electronic databases in

which individual claimants or workers are identifiable, or any other

information relating to any person who has heretofore or hereafter

reported an injury or filed a claim for workers' compensation benefits,

including a copy or oral description of a record which is or was in the

possession or custody of the board, its officers, members, employees or

agents.

(ii) "person" means any natural person, corporation, association,

partnership, or other public or private entity.

(iii) "individually identifiable information" means any data

concerning any injury, claim, or potential claim that is linked to an

identifiable employee or other natural person.

2. Authorized disclosure. Workers' compensation records which contain

individually identifiable information may, unless otherwise prohibited

by law, be disclosed to:

(a) those officers, members and employees of, and to those who

contract with, the board if such disclosure is necessary to the

performance of their official duties pursuant to a purpose of the board

required to be accomplished by statute or executive order or otherwise

necessary to perform their lawful duties;

(b) officers or employees of another governmental unit, or agents

and/or contractors of the governmental unit at the request and/or

direction of the governmental unit, if the information sought to be

disclosed is necessary for the receiving governmental unit to operate a

program or carry out a purpose specifically authorized by statute,

including the investigation of a fraud, criminal offense or licensing or

regulatory violation, or to act upon an application for benefits

submitted by the person who is the subject of the record;

(c) a person who is the subject of the particular record for which

disclosure is sought; or an attorney or licensed representative who is

retained by the person who is the subject of the particular record for

which disclosure is sought;

(d) a workers' compensation insurance carrier, employer or the state

insurance fund, including officers, employees, legal representatives,

agents, reinsurers and contractors thereof, where such individuals are

acting within the scope of their duties in evaluating, processing or

settling a claim involving the subject of the particular record for

which disclosure is sought, and where such carrier, employer or fund is

a party to such claim;

(e) a judicial or administrative officer or employee in connection

with an administrative or judicial proceeding; and

(f) a person engaged in bona fide statistical research, including but

not limited to actuarial studies and health and safety investigations,

which are authorized by statute or regulation of the board or other

governmental agency. Individually identifiable information shall not be

disclosed unless the researcher has entered into a confidentiality

agreement with the board and has agreed that any research findings will

not disclose individually identifiable information; and

(g) an insurer or health benefit plan including officers, employees,

legal representatives, agents, and contractors thereof, where such

individuals are acting within the scope of their duties in evaluating

compensation records for the purpose of determining entitlement to

reimbursement for payments made for medical and/or hospital services

pursuant to subdivisions (d) and (h) of section thirteen of this

chapter.

(h) a treating physician or other health care provider who has

rendered treatment to a claimant, or is seeking authorization for

treatment or special services, (i) where the information sought to be

disclosed relates to (a) compensability of a claim related to such

treatment, (b) reimbursement for such treatment, or (c) authorization

for special services; or (ii) where the information to be disclosed is

limited to notice to the treating physician or other health care

provider that a waiver agreement has been initiated pursuant to section

thirty-two of this chapter.

3. Individual authorization. Notwithstanding the restrictions on

disclosure set forth under subdivision one of this section, a person who

is the subject of a workers' compensation record may authorize the

release, re-release or publication of his or her record to a specific

person not otherwise authorized to receive such record, by submitting

written authorization for such release to the board on a form prescribed

by the chair or by a notarized original authorization specifically

directing the board to release workers' compensation records to such

person. However, in accordance with section one hundred twenty-five of

this article, no such authorization directing disclosure of records to a

prospective employer shall be valid; nor shall an authorization

permitting disclosure of records in connection with assessing fitness or

capability for employment be valid, and no disclosure of records shall

be made pursuant thereto. It shall be unlawful for any person to

consider for the purpose of assessing eligibility for a benefit, or as

the basis for an employment-related action, an individual's failure to

provide authorization under this subdivision.

4. It shall be unlawful for any person who has obtained copies of

board records or individually identifiable information from board

records to disclose such information to any person who is not otherwise

lawfully entitled to obtain these records.

5. Any person who knowingly and willfully obtains workers'

compensation records which contain individually identifiable information

under false pretenses or otherwise violates this section shall be guilty

of a class A misdemeanor and shall be subject upon conviction, to a fine

of not more than one thousand dollars.

6. In addition to or in lieu of any criminal proceeding available

under this section, whenever there shall be a violation of this section,

application may be made by the attorney general in the name of the

people of the state of New York to a court or justice having

jurisdiction by a special proceeding to issue an injunction, and upon

notice to the defendant of not less than five days, to enjoin and

restrain the continuance of such violations; and if it shall appear to

the satisfaction of the court or justice that the defendant has, in

fact, violated this section, an injunction may be issued by such court

or justice, enjoining and restraining any further violation, without

requiring proof that any person has, in fact, been injured or damaged

thereby. In any such proceeding, the court may make allowances to the

attorney general as provided in paragraph six of subdivision (a) of

section eighty-three hundred three of the civil practice law and rules,

and direct restitution. Whenever the court shall determine that a

violation of this section has occurred, the court may impose a civil

penalty of not more than five hundred dollars for the first violation,

and not more than one thousand dollars for the second or subsequent

violation within a three year period. In connection with any such

proposed application, the attorney general is authorized to take proof

and make a determination of the relevant facts and to issue subpoenas in

accordance with the civil practice law and rules.