AAC-45-11-00010-A Sets Forth the Procedures for the Use of Electronic Signatures and Records by the Retirement System

10/31/12 N.Y. St. Reg. AAC-45-11-00010-A

NEW YORK STATE REGISTER

VOLUME XXXIV, ISSUE 44

October 31, 2012

RULE MAKING ACTIVITIES

DEPARTMENT OF AUDIT AND CONTROL

NOTICE OF ADOPTION

 

I.D No. AAC-45-11-00010-A

Filing No. 1029

Filing Date. Oct. 11, 2012

Effective Date. Oct. 31, 2012

Sets Forth the Procedures for the Use of Electronic Signatures and Records by the Retirement System

PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following action:

Action taken:

Addition of Part 380 to Title 2 NYCRR.

Statutory authority:

Retirement and Social Security Law, sections 11, 74, 311, 374, 519 and 614

Subject:

Sets forth the procedures for the use of electronic signatures and records by the Retirement System.

Purpose:

To clarify the use of electronic signatures.

Text of final rule:

Part 380: Electronic Signatures and Filing of Documents

Section 380.1 - Background.

Article 3 of the State Technology Law, known as the Electronic Signatures and Records Act (ESRA), is intended to support and encourage electronic commerce and electronic government by allowing people to use electronic signatures and electronic records in lieu of handwritten signatures and paper documents. Administration of the State Technology Law is vested in the New York State Office of the Chief Information Officer and the New York State Office of Information Technology Services (CIO/ITS). CIO/ITS has promulgated regulations (9 NYCRR Subtitle N, Part 540) to establish rules governing the use of electronic signatures and records. CIO/ITS also issues policies, standards, and guidelines for technology usage.

Section 807 of the Retirement and Social Security Law, enacted pursuant to chapter 506 of the Laws of 2005, authorizes public retirement systems to promulgate rules and regulations to provide for alternate means of authentication in place of any requirement that a filing be duly executed and acknowledged and, consistent with the provisions of the state technology law, to provide for the electronic filing of documents. The State Comptroller as the administrative head of the New York State and Local Employees' Retirement System and the New York State and Local Police and Fire Retirement System (“the Retirement System”) has the exclusive authority pursuant to sections 11, 74, 311, 374, 519 and 614 of the Retirement and Social Security Law to adopt rules and regulations for the administration of the retirement system.

This part is promulgated to set forth the procedures for the use of electronic signatures and records by the Retirement System.

380.2 – Statement of Intent.

1. ESRA and this Part are designed to, among other things, afford the Retirement System the greatest latitude to determine the most effective protocols for producing, receiving, accepting, acquiring, recording, filing, transmitting, forwarding and storing electronic signatures and electronic records within the confines of existing statutory and regulatory requirements regarding privacy, confidentiality and records retention.

2. New technologies are frequently being introduced. The intent of this Part is to be flexible enough to embrace future technologies that comply with ESRA and all other applicable statutes and regulations.

380.3 Electronic Signatures and Filing of Documents.

1. Meaning of Terms. Unless specifically stated otherwise, the meaning of terms and words in this Part shall be the same as in the state technology law and the regulations of CIO/ITS.

a. The “retirement system” means the New York State and Local Employees’ Retirement System and the New York State and Local Police and Fire Retirement System.

b. An “electronic signature” or “digital signature” means the creation of an electronic identifier (i.e., an electronic sound, symbol, or process, attached to or logically associated with an electronic record and executed or adopted by a person with the intent to sign the record) which the Comptroller determines is:

i. unique to the signer;

ii. capable of verification;

iii. under the signer's control; and

iv. linked to the record in such a manner that if the record is changed, the signature is invalidated.

2. Authorization. The Retirement System may provide for the electronic filing of forms and documents through its internet website and/or through the statewide network infrastructure (NYeNet).

3. Coordination. Administration of the internet website and use of NYeNet shall be coordinated by the Retirement System through the Chief Information Officer of the Office of the State Comptroller.

4. State Technology Law. The Retirement System shall conform to the internet security and privacy act, the electronic signatures and records act, and the regulations and other requirements of CIO/ITS.

5. Retirement System Electronic Signatures. The signature of those persons executing, and/or authenticating, any decision or determination or other document by or on behalf of the Comptroller, may do so digitally for documents prepared in an electronic format.

6. Use of Electronic Signatures. Unless specifically provided otherwise by law, an electronic signature may be used in lieu of a signature affixed by hand. The use of an electronic signature shall have the same validity and effect as the use of a signature affixed by hand. A verified electronic signature shall also be deemed to be acknowledged, when required by law.

7. Disclosure of Records. Electronic records shall be considered and treated as any other records for the purposes of disclosure of those records as set forth in Article 6-A of the Public Officers Law.

8. Freedom of Information Law. Electronic records shall be considered and treated as any other records for the purposes of the Freedom of Information Law as set forth in Article 6 of the Public Officers Law.

9. Use of Electronic Records. An electronic record shall have the same force and effect as those records not produced by electronic means.

10. Admissibility into Evidence. Electronic records, electronically stored and reproduced copies of records, and electronic signatures, shall be admissible into evidence in Retirement System administrative proceedings under the same rules as those records and signatures not produced or stored and reproduced, by electronic means.

11. Use of Electronic Records and Signatures to be Voluntary. Nothing in this Part shall require any entity or person to use an electronic record or an electronic signature unless otherwise provided by law.

Final rule as compared with last published rule:

Nonsubstantive changes were made to Part number, formerly Part 379.

Text of rule and any required statements and analyses may be obtained from:

Jamie Elacqua, Office of the State Comptroller, 110 State Street, Albany, NY 12236, [phone], email: [e-mail]

Assessment of Public Comment

The agency received no public comment.