Current through Register Vol. 46, No. 12, March 20, 2024
(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.
