N.Y. Comp. Codes R. & Regs. tit. 19 § 134.8

Current through Register Vol. 46, No. 45, November 2, 2024

Section 134.8 - Agency exemption request

(a) Application for a waiver. An agency may request a waiver pursuant to Executive Law section 108(4) to use the actual addresses of program participants by submitting a written application to the program.

(1) Each application for a waiver shall include:

(i) identification of the agency program or activity for which a waiver is sought and a description of how actual addresses are currently used in the administration of that program or activity;

(ii) identification of the statute or administrative rule that demonstrates the agency's bona fide requirement and authority for the use of the actual address of a program participant;

(iii) identification and a description of the specific record or record series for which the waiver is requested;

(iv) an explanation as to how the acceptance of the substitute address for a program participant will prevent the agency from meeting a statutory or administrative obligation;

(v) an explanation as to why the agency cannot meet its statutory or administrative obligations by a change in its internal procedures;

(vi) a description of the manner by which the confidentiality of the record or record series will be maintained; and

(vii) identification of the individuals who will have access to the record or record series.

(2) An application for a waiver for an agency program or activity that requires the agency to communicate to or receive communication from another agency or to the Federal government of the actual addresses of program participants shall also include:

(i) identification of the agency or Federal government agency with whom the actual addresses of program participants would be communicated;

(ii) identification of the statute or administrative rule that demonstrates the agency's bona fide requirement and authority to communicate the actual address of a program participant with another agency;

(iii) an explanation of how communication of the substitute address for a program participant will prevent the agency from meeting a statutory or administrative obligation; and

(iv) the status of the other agency's waiver application, if applicable and if known.

(3) Each application for a waiver shall also include certification by the head of the agency that the agency will maintain the confidentiality of actual address information collected and maintained pursuant to the requested waiver by redacting the actual address information from a record when it is released to any person and will not make the program participant's actual address available for inspection or copying unless authorized to do so pursuant to Executive Law section 108(4)(b).

(b) Application review. The program shall review and determine whether to approve or deny an agency's request for a waiver.

(1) The review of an agency's request for a waiver shall include, but not be limited to, an evaluation of the information required to be provided under this part.

(2) A determination to deny an agency's waiver request shall be made in writing and shall include a statement of the specific reasons therefore.

(3) An agency may request reconsideration of a denied waiver request by resubmitting its written request to the Secretary of State. The reconsideration request shall be accompanied by additional data, information and an explanation of corrective action taken to alleviate concerns and considerations identified in the program's denial determination.

(4) During the pendency of the review and reconsideration of an agency's waiver request, the agency shall accept and use a program participant's substitute address for any records for which the waiver was requested.

(c) Waivers. If the program determines that an agency has a bona fide statutory or administrative requirement for the use of a program participant's actual address information and that the actual address information will be used only for those statutory or administrative purposes, the program may issue a written waiver for the agency. When granting a waiver, the program may include:

(1) a statement of the agency's obligation and ability to maintain the confidentiality of a program participant's address information;

(2) limitations on use of and access to that address information;

(3) designation of the record format in which the address information may be maintained;

(4) the term during which the waiver is authorized for use by the agency; and

(5) any other provisions and qualifications determined appropriate by the program.

(d) When a program participant requests use by an agency of the substitute address in a record, and the agency has received a waiver for that record, the agency shall immediately provide evidence of such waiver to the requesting program participant.

(e) The Secretary of State shall keep a record of all waivers and all documentation relating to requests for waivers.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 134.8