§ 110-A — Confidentiality of workers' compensation records

§ 110-a. Confidentiality of workers' compensation records. 1.\nRestrictions on disclosure. (a) Except upon the order or subpoena of a\ncourt of competent jurisdiction, or subpoena of a law enforcement\nagency, or subpoena properly issued under the authority of an\nadministrative agency, or in accordance with subdivision two or three of\nthis section, no workers' compensation record shall be disclosed,\nredisclosed, released, disseminated or otherwise published by an\nofficer, member, employee or agent of the board to any other person.\n (b) For purposes of this section, (i) "record" means a claim file, a\nfile regarding an injury or complaint for which no claim has been made,\nand/or any records maintained by the board in electronic databases in\nwhich individual claimants or workers are identifiable, or any other\ninformation relating to any person who has heretofore or hereafter\nreported an injury or filed a claim for workers' compensation benefits,\nincluding a copy or oral description of a record which is or was in the\npossession or custody of the board, its officers, members, employees or\nagents.\n (ii) "person" means any natural person, corporation, association,\npartnership, or other public or private entity.\n (iii) "individually identifiable information" means any data\nconcerning any injury, claim, or potential claim that is linked to an\nidentifiable employee or other natural person.\n 2. Authorized disclosure. Workers' compensation records which contain\nindividually identifiable information may, unless otherwise prohibited\nby law, be disclosed to:\n (a) those officers, members and employees of, and to those who\ncontract with, the board if such disclosure is necessary to the\nperformance of their official duties pursuant to a purpose of the board\nrequired to be accomplished by statute or executive order or otherwise\nnecessary to perform their lawful duties;\n (b) officers or employees of another governmental unit, or agents\nand/or contractors of the governmental unit at the request and/or\ndirection of the governmental unit, if the information sought to be\ndisclosed is necessary for the receiving governmental unit to operate a\nprogram or carry out a purpose specifically authorized by statute,\nincluding the investigation of a fraud, criminal offense or licensing or\nregulatory violation, or to act upon an application for benefits\nsubmitted by the person who is the subject of the record;\n (c) a person who is the subject of the particular record for which\ndisclosure is sought; or an attorney or licensed representative who is\nretained by the person who is the subject of the particular record for\nwhich disclosure is sought;\n (d) a workers' compensation insurance carrier, employer or the state\ninsurance fund, including officers, employees, legal representatives,\nagents, reinsurers and contractors thereof, where such individuals are\nacting within the scope of their duties in evaluating, processing or\nsettling a claim involving the subject of the particular record for\nwhich disclosure is sought, and where such carrier, employer or fund is\na party to such claim;\n (e) a judicial or administrative officer or employee in connection\nwith an administrative or judicial proceeding; and\n (f) a person engaged in bona fide statistical research, including but\nnot limited to actuarial studies and health and safety investigations,\nwhich are authorized by statute or regulation of the board or other\ngovernmental agency. Individually identifiable information shall not be\ndisclosed unless the researcher has entered into a confidentiality\nagreement with the board and has agreed that any research findings will\nnot disclose individually identifiable information; and\n (g) an insurer or health benefit plan including officers, employees,\nlegal representatives, agents, and contractors thereof, where such\nindividuals are acting within the scope of their duties in evaluating\ncompensation records for the purpose of determining entitlement to\nreimbursement for payments made for medical and/or hospital services\npursuant to subdivisions (d) and (h) of section thirteen of this\nchapter.\n (h) a treating physician or other health care provider who has\nrendered treatment to a claimant, or is seeking authorization for\ntreatment or special services, (i) where the information sought to be\ndisclosed relates to (a) compensability of a claim related to such\ntreatment, (b) reimbursement for such treatment, or (c) authorization\nfor special services; or (ii) where the information to be disclosed is\nlimited to notice to the treating physician or other health care\nprovider that a waiver agreement has been initiated pursuant to section\nthirty-two of this chapter.\n 3. Individual authorization. Notwithstanding the restrictions on\ndisclosure set forth under subdivision one of this section, a person who\nis the subject of a workers' compensation record may authorize the\nrelease, re-release or publication of his or her record to a specific\nperson not otherwise authorized to receive such record, by submitting\nwritten authorization for such release to the board on a form prescribed\nby the chair or by a notarized original authorization specifically\ndirecting the board to release workers' compensation records to such\nperson. However, in accordance with section one hundred twenty-five of\nthis article, no such authorization directing disclosure of records to a\nprospective employer shall be valid; nor shall an authorization\npermitting disclosure of records in connection with assessing fitness or\ncapability for employment be valid, and no disclosure of records shall\nbe made pursuant thereto. It shall be unlawful for any person to\nconsider for the purpose of assessing eligibility for a benefit, or as\nthe basis for an employment-related action, an individual's failure to\nprovide authorization under this subdivision.\n 4. It shall be unlawful for any person who has obtained copies of\nboard records or individually identifiable information from board\nrecords to disclose such information to any person who is not otherwise\nlawfully entitled to obtain these records.\n 5. Any person who knowingly and willfully obtains workers'\ncompensation records which contain individually identifiable information\nunder false pretenses or otherwise violates this section shall be guilty\nof a class A misdemeanor and shall be subject upon conviction, to a fine\nof not more than one thousand dollars.\n 6. In addition to or in lieu of any criminal proceeding available\nunder this section, whenever there shall be a violation of this section,\napplication may be made by the attorney general in the name of the\npeople of the state of New York to a court or justice having\njurisdiction by a special proceeding to issue an injunction, and upon\nnotice to the defendant of not less than five days, to enjoin and\nrestrain the continuance of such violations; and if it shall appear to\nthe satisfaction of the court or justice that the defendant has, in\nfact, violated this section, an injunction may be issued by such court\nor justice, enjoining and restraining any further violation, without\nrequiring proof that any person has, in fact, been injured or damaged\nthereby. In any such proceeding, the court may make allowances to the\nattorney general as provided in paragraph six of subdivision (a) of\nsection eighty-three hundred three of the civil practice law and rules,\nand direct restitution. Whenever the court shall determine that a\nviolation of this section has occurred, the court may impose a civil\npenalty of not more than five hundred dollars for the first violation,\nand not more than one thousand dollars for the second or subsequent\nviolation within a three year period. In connection with any such\nproposed application, the attorney general is authorized to take proof\nand make a determination of the relevant facts and to issue subpoenas in\naccordance with the civil practice law and rules.\n