2023 New York Laws › LAB - Labor › Article 18 - Unemployment Insurance Law › Title 3 - Administration › 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.