S T A T E O F N E W Y O R K
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3632
2017-2018 Regular Sessions
I N A S S E M B L Y
January 30, 2017
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Introduced by M. of A. CARROLL -- read once and referred to the Commit-
tee on Governmental Operations
AN ACT to amend the New York city charter, in relation to the confiden-
tiality of information obtained by a city employee in the course of
official duties
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Legislative intent. In August 1989, Mayor Edward Koch
issued Executive Order No. 124, which prohibits any city officer or
employee from transmitting information regarding the immigration status
of any individual to federal immigration authorities except under
certain circumstances. Mayors David Dinkins and Rudolph Giuliani reis-
sued this executive order. In a decision stemming from the city's chal-
lenge to the constitutionality of two federal statutes that preempted
the Executive Order, the Second Circuit Court of Appeals, although
affirming the lower court's dismissal of the city's lawsuit, also left
open the possibility that a generalized confidentiality policy necessary
to the performance of legitimate municipal functions might survive a
constitutional challenge. CITY OF NEW YORK V. UNITED STATES OF AMERICA,
179 F 3rd 29 (1999), CERT DENIED 528 US 1115 (2000). In fact, the Second
Circuit Court of Appeals, recognizing that the city's concerns regarding
the obtaining of confidential information are not insubstantial, stated
that the "obtaining of pertinent information, which is essential to the
performance of a wide variety of state and local governmental functions,
may in some cases be difficult or impossible if some expectation of
confidentiality is not preserved. Preserving confidentiality may in turn
require that state and local governments regulate the use of such infor-
mation by their employees."
Recognizing the importance of keeping certain information confidential
that city employees may obtain in the course of fulfilling their duties,
as well as adhering to the concerns of the second circuit, the city
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD08433-01-7
A. 3632 2
council finds that a general policy limiting the disclosure of many
types of confidential information is warranted. Confidentiality is vital
when the city obtains such information as an individual's health or
disability status, sexual orientation, immigration status, status as a
crime victim or witness, or other information. Without the assurance
that such information will be kept confidential, it will be difficult
and oftentimes impossible for the city to perform certain essential
functions. By creating a presumption of confidentiality with regard to
certain information, and establishing a mechanism that regulates the
disclosure of such information, the city will go a long way to insuring
that vital services are provided to all people who reside in, work in,
or visit this city.
§ 2. The New York city charter is amended by adding a new section 1114
to read as follows:
§ 1114. DISCLOSURE OF CONFIDENTIAL INFORMATION BY CITY EMPLOYEES. A.
DEFINITIONS. (1) "CONFIDENTIAL INFORMATION" MEANS ANY INFORMATION MAIN-
TAINED OR OBTAINED BY A CITY AGENCY OR EMPLOYEE CONCERNING AN INDIVID-
UAL'S HEALTH OR DISABILITY STATUS, INCOME TAX RECORDS, SEXUAL ORIEN-
TATION, STATUS AS A VICTIM OF DOMESTIC VIOLENCE, STATUS AS A CRIME
VICTIM OR WITNESS, PUBLIC ASSISTANCE STATUS, IMMIGRATION STATUS, OR ANY
INFORMATION THAT IS OTHERWISE PROTECTED FROM DISCLOSURE BY ANY PROVISION
OF FEDERAL, STATE OR LOCAL LAW.
(2) "LINE WORKER" MEANS ANY PERSON EMPLOYED BY ANY CITY AGENCY WHOSE
DUTIES INVOLVE CONTACT WITH THE PUBLIC.
B. PROCEDURE FOR THE DISCLOSURE OF CONFIDENTIAL INFORMATION. (1)
EXCEPT AS PROVIDED IN PARAGRAPH TWO OF THIS SUBDIVISION, NO CITY OFFICER
OR EMPLOYEE SHALL DISCLOSE CONFIDENTIAL INFORMATION TO ANY ONE EXCEPT
ANOTHER CITY OFFICER OR EMPLOYEE ACTING IN THE SCOPE OF HIS OR HER OFFI-
CIAL DUTIES.
(2) CONFIDENTIAL INFORMATION MAY BE DISCLOSED OTHER THAN AS PROVIDED
IN PARAGRAPH ONE OF THIS SUBDIVISION ONLY IF:
(A) THE OFFICER'S OR EMPLOYEE'S AGENCY IS REQUIRED BY LAW TO DISCLOSE
SUCH CONFIDENTIAL INFORMATION, PROVIDED THAT THE DISCLOSURE SHALL BE
LIMITED TO THAT REQUIRED BY LAW; OR
(B) THE OFFICER'S OR EMPLOYEE'S AGENCY HAS BEEN AUTHORIZED, IN WRITING
SIGNED BY THE INDIVIDUAL OR, IF THE INDIVIDUAL IS A MINOR OR IS NOT
COMPETENT, THE INDIVIDUAL'S PARENT OR LEGAL GUARDIAN, TO DISCLOSE SUCH
CONFIDENTIAL INFORMATION, PROVIDED THAT THE DISCLOSURE SHALL BE LIMITED
TO THAT AUTHORIZED IN WRITING BY THE INDIVIDUAL; OR
(C) THERE IS REASONABLE SUSPICION OR PROBABLE CAUSE TO BELIEVE THAT A
PERSON IS ENGAGING IN CRIMINAL ACTIVITY AND THE DISCLOSURE OF CONFIDEN-
TIAL INFORMATION IS NECESSARY TO COOPERATE WITH A LAW ENFORCEMENT AGENCY
INVESTIGATING THAT CRIMINAL ACTIVITY; OR
(D) SUCH CONFIDENTIAL INFORMATION IS TO BE USED SOLELY FOR THE PURPOSE
OF COMPILING STATISTICAL INFORMATION BY A FEDERAL, STATE, OR LOCAL
GOVERNMENT AGENCY, PROVIDED THAT THE DISCLOSURE SHALL BE LIMITED TO THAT
NECESSARY TO COMPILE SUCH STATISTICAL INFORMATION, AND PROVIDED THAT THE
RECIPIENT OF THE INFORMATION ENSURES IN WRITING IN ADVANCE OF ANY
DISCLOSURE THAT THE CONFIDENTIAL INFORMATION WILL NOT BE FURTHER
DISCLOSED TO ANY AGENCY OR INDIVIDUAL.
C. PROCEDURE FOR COLLECTION AND RECORDING OF CONFIDENTIAL INFORMATION.
NO CITY OFFICER OR EMPLOYEE SHALL MAKE INQUIRIES TO ANY INDIVIDUAL
APPLYING FOR OR RECEIVING ANY SERVICE OR BENEFIT, ON BEHALF OF ONE'S
SELF OR ANOTHER, REGARDING CONFIDENTIAL INFORMATION UNLESS SUCH CONFI-
DENTIAL INFORMATION IS SPECIFICALLY REQUIRED BY FEDERAL OR STATE LAW AS
A CONDITION OF RECEIPT OF SUCH SERVICE OR BENEFIT.
A. 3632 3
(1) WHERE CONFIDENTIAL INFORMATION IS A CONDITION OF RECEIPT OF THE
SERVICE OR BENEFIT, THE CITY OFFICER OR EMPLOYEE SHALL MAKE ONLY THOSE
INQUIRIES NECESSARY TO DETERMINE WHETHER AN APPLICANT OR RECIPIENT IS
QUALIFIED FOR SUCH SERVICE OR BENEFIT.
(2) THIS SECTION SHALL APPLY TO ANY INFORMATION, QUESTIONNAIRE, INTER-
VIEW SHEET OR OTHER FORM USED IN RELATION TO BENEFITS OR SERVICES
PROVIDED BY THE CITY.
(3) NO CITY OFFICER OR EMPLOYEE SHALL RECORD INFORMATION REGARDING THE
IMMIGRATION STATUS OF AN APPLICANT FOR OR RECIPIENT OF ANY SERVICE OR
BENEFIT UNLESS REQUIRED BY FEDERAL OR STATE LAW. WHERE FEDERAL OR STATE
LAW REQUIRES THE RECORDING OF CONFIDENTIAL INFORMATION, ONLY THAT INFOR-
MATION SPECIFICALLY REQUIRED SHALL BE RECORDED.
D. DESIGNATION OF OFFICER RESPONSIBLE FOR AUTHORIZING THE RELEASE OF
CONFIDENTIAL INFORMATION. THE HEAD OR GOVERNING BODY OF EACH AGENCY
SHALL DESIGNATE ONE OR MORE PERSONS WITH SUPERVISORY AUTHORITY WHO HAVE
AUTHORITY TO APPROVE THE RELEASE OF CONFIDENTIAL INFORMATION. THE DESIG-
NATION SHALL INCLUDE THE NAME, SPECIFIC JOB TITLE, TELEPHONE NUMBER AND
BUSINESS ADDRESS OF SUCH ACCESS OFFICER. IN APPROVING THE RELEASE OF
CONFIDENTIAL INFORMATION THE DESIGNATED OFFICER SHALL SPECIFY THE
SPECIFIC INFORMATION TO BE DISCLOSED AND THE PERSONS OR ENTITIES TO
WHICH SUCH DISCLOSURE SHALL BE MADE. THE DESIGNATED OFFICER SHALL ENSURE
THAT THE DISCLOSURE IS AUTHORIZED BY LAW AND IS LIMITED IN SCOPE AS
PROVIDED BY LAW.
E. DISCLOSURE BY LINE WORKERS OF CONFIDENTIAL INFORMATION. NO LINE
WORKER EMPLOYED BY A CITY AGENCY SHALL DISCLOSE CONFIDENTIAL INFORMATION
WITHOUT OBTAINING PRIOR WRITTEN APPROVAL OF THE DESIGNATED OFFICER
RESPONSIBLE FOR AUTHORIZING THE RELEASE OF CONFIDENTIAL INFORMATION FOR
THAT AGENCY.
F. OTHER LAWS RESPECTING CONFIDENTIALITY. NOTHING IN THIS SECTION
REDUCES OR ABRIDGES ANY OTHER PROTECTION IN FEDERAL, STATE, OR LOCAL LAW
RESPECTING THE CONFIDENTIALITY OF INFORMATION.
§ 3. Severability. If any section, subdivision, sentence, clause,
phrase or other portion of this act is, for any reason, declared uncon-
stitutional or invalid, in whole or in part, by any court of competent
jurisdiction, such portion shall be deemed severable, and such unconsti-
tutionality or invalidity shall not affect the validity of the remaining
portions of this act, which remaining portions shall continue in full
force and effect.
§ 4. This act shall take effect immediately.