City of Saratoga Springs Vital Records

City of Saratoga Springs Vital Records Handbook Title: Vital Records Program Date of Origin: TBD Responsible Party: Registrar of Vital Records/Statistics Date of Review: Annual DRAFT Title: City of Saratoga Springs Vital Records Policy: The New York State Health Department has legal jurisdiction for all vital records registration in the State of New York with the exception of New York City whose vital records are governed by the New York City Department of Health. The City of Saratoga Springs local Registrar and his designees are governed by Public Health Law 4120, which allows the City to establish itself as a primary registration district for the production of vital records. The City of Saratoga Springs hereby adopts the regulatory guidelines of the New York State Department of Health for vital record registration of its community. Vital Records Program Draft 1

Definitions: Certification: A computer generated or other reproduction of ONLY the name of the person to whom the certificate relates to, the date and place of the event and the certificate filing date. Certified Copy: A Certified Copy is a photographic copy of an actual vital record. "Certified" means a copy that carries a certification from the registrar or clerk that it is the same as the original, not just a copy. Certified Transcript: A copy of a vital record that is a computer, typewritten or handwritten abstract of information taken from an actual certificate. DOH: Department of Health Individual s Right to Privacy: Local Registrar: Commissioner of Accounts who is responsible for the complete registration of all births, deaths and fetal deaths occurring in the City of Saratoga Springs. Delayed Birth Certificate: A Delayed Birth Certificate is an application for a birth certificate for a home birth made to the Local Registrar more than one year from the date of the infant s birth. This application must be made directly to the NYS DOH on a special form called a Delayed Birth Certificate. Deputy Registrar: The Deputy Registrar has the same authority and duty as the Local Registrar, is a civil service position with the City, and is appointed by the Commissioner of Accounts. FOIL: Freedom of Information Law. Birth certificates, death certificates and the indexes related to each are not subject to the provisions of FOIL. These records are not subject to public inspections. Access to vital records is subject to NYS Public Health Law 4173 and 4174 and the NYS Health Commissioner s Administrative Rules and Regulations Sections 35.1 through 35.8 Foundling Certificates: Birth certificates for abandoned children whose parents are unknown. Legal Right or Claim: A legal right or claim is established on the basis of documenting a requestor of information has a legal need requiring a vital record including a power of attorney, life insurance policy, letter from a bank, or a court order. No Record Certification of Birth: DOH-3656: A No Record of Certification of Birth is issued when a search for the record is made and none can be found. Vital Records Program Draft 2

No Record Certification of Death: DOH-3405: A No Record of Certification of Death is issued when a search for the record is made and none can be found. Press Number Log: This Log documents the sequenced number of Security Paper provided for the generation of birth and death certificates. It is compiled separately for birth and deaths on an annual basis. Public s Right to Know: There is no Public s Right to Know as the matter pertains to birth and death certificates. Birth certificates, death certificates and the indexes related to each are not subject to the provisions of FOIL. These records are not subject to public inspections. Access to vital records is subject to NYS Public Health Law 4173 and 4174 and the NYS Health Commissioner s Administrative Rules and Regulations Sections 35.1 through 35.8 Subregistrar: Subregistrars may be appointed per the review and approval of the NYS DOH. Candidates for Subregistrars may be appointed using the NYS DOH Form DOH-2457. The NYS DOH will return a signed copy of the DOH-2457 if the Subregistrar candidate is approved for appointment. Vital Record: An official record used to register births, deaths, fetal deaths and marriages as required by NYS Public Health Law and the NYS Domestic Relations Law. It: Is used to provide proof of identity, age, citizenship, parentage, and survivor benefits. Contains highly personal and confidential information including names, dates of birth, parental information, social security numbers, and residence addresses Vital Records Program Draft 3

Governance: 1. NYS Public Health Law Section 4121 requires the City to appoint a local registrar, which is the Commissioner of Accounts and his/her designee for the City of Saratoga Springs. 2. The City s Registrar of Vital Records is required to execute Registrar Appointment Notice DOH 1556 on an annual basis or during the appointment of a new Registrar. 3. The original DOH 1556 is mailed to the NYS Vital Records Section with a copy to the Saratoga County Clerk. 4. The NYS Commissioner of Health may remove a local registrar, deputy registrar or subregistar from office for failure or neglect in the performance of the duties of Article 41 of the NYS Public Health Law. 5. The Local Registrar is required to appoint a Deputy Registrar. The Local Registrar must inform the NYS DOH of the appointment of a Deputy Registrar on the form titled Registrar Appointment Notice DOH-1556. 6. The Deputy Registrar has the same authority and duties as the Local Registrar. 7. NYS Public Health Law 4122.2 authorizes the Local Registrar to appoint one or more subregistrars with the approval of the NYS Commissioner of Health. 8. Subregistrars may be appointed per the review and approval of the NYS DOH. Candidates for Subregistrars may be appointed using the NYS DOH Form DOH-2457. The NYS DOH will return a signed copy of the DOH-2457 if the Subregistrar candidate is approved for appointment. 9. The Local Registrar, Deputy Registrar and Subregistrars shall document all meetings and verbal communications with regard to the issuance of vital records. Vital Records Program Draft 4

General Duties of the Local Registrar and Deputy Registrar: The local registrar and his/her designee(s) have the following responsibilities as specified in the NYS Public Health Law 4170: 1. Supply Blank forms to physicians, funeral directors, hospitals, and nursing homes as requested. 2. Examines birth and death certificates as presented to ensure they conform to NYS Public Health Law and the NYS DOH regulatory requirements. 3. Consecutively numbers Certificates of Live Birth and Death into two separate categories. At the beginning of each year, the first birth of the calendar year is number one with consecutive births numbered thereafter. At the beginning of each year, the first death of the calendar year is number one with consecutive deaths numbered thereafter. 4. Maintains a local copy of each Certificate of Live Birth and Death filed. 5. Issues permits for burial and cremation or other disposition for deaths occurring within the City per NYS Public Health Law Section 4144. 6. Files permits for each burial, cremation or other disposition that occurs within the City. 7. Forwards original Certificates of Live Birth and Death to the NYS DOH according to a previously approved schedule ordered by the NYS Commissioner of Health. 8. Issues certifications, transcripts and certified copies of Certificates of Live Birth and Death to qualified applicants per NYS Public Health Law Section 4173. 9. Keeps a running monthly count of the number of Fetal Death Reports received and destroyed during the month. 10. Flags the birth certificates of children reported missing by the NYS DOH. 11. Notifies the NYS Division of Criminal Justice Services, the NYS DOH and City of Saratoga Springs Police Department of any request for a flagged birth certificate. 12. Keeps an accurate account of all birth and death certificate copy fees received recording each certificate copy as a separate record. Each record should include a statement of the fee charged; number of certificates produced; the amount of the fee charged; and the total fee collected for the transaction. Vital Records Program Draft 5

General Duties of the Subregistrar: 1. Subregistrars may accept birth and death certificates for filing. 2. Subregistrars may issue burial permits. 3. Subregistrars may not issue copies of certificates. 4. Subregistrars must forward all birth and death certificates received in his/her possession to the Local Registrar within THREE days of receipt/filing. 5. A birth or death certificate filed with a Subregistrar must be signed in the item marked Signature of Local Registrar. The date the certificate is filed is entered in the adjoining item. 6. A Subregistrar filing a death certificate must sign in the space marked Burial or Removal Permit Issued By and enter the date into the adjoining space. Vital Records Program Draft 6

Confidentiality and Security of Vital Records: The Local Registrar and his/her designees are required to maintain the highest degree of confidentiality and security when taking applications for vital records and producing certificates for vital records. The NYS DOH requires the following confidentiality and security rules be adhered to in the course of the management of the City s Vital Records: 1. Only the Local Registrar, Deputy Registrar and authorized clerical staff shall be allowed access to the City s Vital Records. 2. The Local Registrar shall obtain an executed Confidentiality Agreement from each clerical staff member given permission to handle the City s vital records. Individual Confidentiality Statements shall state the City s Confidentiality Policy and state the NYS DOH penalties for unlawfully releasing vital record information. 3. All of the City s Vital Records shall be kept in a safe, lockable filing cabinet or a locked storage area with access limited to vital records personnel. 4. At no time, shall ANY vital record or vital record index be left in an area accessible to pubic view. 5. The Local Deputy Registrar shall be responsible for reviewing confidentiality and security measures with clerical staff on an annual basis and provide education as needed. 6. The Deputy Registrar and Subregistrars shall avoid verification of birth and death certificates via telephone. 7. The Deputy Registrar and Subregistrars shall immediately report any suspicious inquiries to the NYS DOH Vital Record Section as soon as they occur. Vital Records Program Draft 7

Types of Certificates and Their Distribution: A. Live Birth Certificates: 1. Live Births Inside of Hospitals: DOH-1936E: Used in the electronic registration of the birth process at a hospital. NYS Public Health Law Section 4130.5 requires the hospital to complete the birth certificate, have the attending physician execute the birth certificate, and file the birth certificate with the Local Registrar within five days of the mother giving birth. Its form is composed of two parts: State gets the original top copy. City keeps the bottom copy. 2. Live Births Outside of Hospitals: DOH-1961: Used to register births occurring outside of a hospital at home, a birthing clinic or at a hospital that does not participate in the electronic birth registration process. It consists of three parts: State gets the original top copy. City keeps the middle copy. Local health unit gets the bottom copy. If an application is made for a birth certificate and the home birth is less than one year from the date of the infant s birth: NYS Public Health Law 4101 requires the Local Registrar determine when, where and to whom the child was born. The birth certificate may not be filed until the parents provide: positive documentation, proof of residency, and supporting documentation from a prenatal or postnatal health care provider, Department of Social Services or other government agency. A birth certificate may only be issued AFTER the accuracy of the facts is established. If an application is made for a birth certificate and the home birth is greater than one year from the date of the infant s birth, the birth certificate is filed as a delayed birth certificate. In this case, NYS Public Health Law 4175 requires: The birth to be registered directly with the DOH on a special form called a Delayed Birth Certificate. Local Registrars refer all such cases to the NYS Vital Records Section who will be responsible for verifying no birth certificate is on file and working with the applicant to obtain the necessary information to file a Delayed Birth Certificate. Vital Records Program Draft 8

The Local Registrar will be sent a copy of the Delayed Birth Certificate for the City s files after it is approved and filed by the NYS Vital Records Section. 3. Foundling Certificates: NYS Public Health Law 4131 requires the County Commissioner of Social Services to register the birth of an abandoned child whose parents are unknown. The Commissioner of Social Services files a Certificate of Foundling stating the district where the child was found as its place of birth. The Commissioner is also responsible for determining the Child s approximate date of birth. If the child s parents are eventually found, the Certificate of Foundling is placed under a confidential seal and replaced with the corrected birth certificate. B. Death Certificates: DOH-1961 is the Certificate of Death. The funeral director taking possession of the body has the responsibility for completing all the necessary information needed on the death certificate. The Certificate of Death consists of three parts: State gets the original top copy. City gets the middle copy. Local health unit gets the bottom copy. If a death occurs in a hospital or licensed nursing home, the funeral director presents the death certificate to the person in charge of the facility. The person in charge or the attending physician or his/her representative certifies the cause of death. The death certificate is filed by the funeral director. If the death occurs outside of a hospital or licensed nursing home, the funeral director presents the death certificate to the attending physician who has knowledge of the cause of death. The death certificate is filed by the funeral director. If death occurs to an unknown person, a coroner or medical examiner will be responsible for filing the death certificate per NYS County Law Section 673. C. Fetal Death Certificates: 1. DOH-3547: Spontaneous Termination of Pregnancy. It is a three part form: State gets the original top copy. Vital Records Program Draft 9

City keeps the middle copy. This middle copy is called the Report of Fetal Death and is used to provide information to local registrars to determine if there has been complete reporting in the City and to facilitate the issuance of burial permits. Local health unit of the county where the event occurred gets the bottom copy. 2. DOH-3548: Induced termination of Pregnancy. It is a two part form: The Local Registrar maintains a monthly count of the number of fetal death certificates filed. This information is detailed on DOH- 2179. Each Report of Fetal Death must be destroyed in a confidential manner within 30 days of their receipt. A Report of Fetal Death must be filed with the Local Registrar by the physician in attendance at or following the fetal death. IF the gestation is 20 weeks or more, a funeral director will file the Report of Fetal Death with the Local Registrar to facilitate issuance of a Burial/Transit Permit. This Report of Fetal Death is filed directly with the NYS DOH by the attending physician. IF the fetal death occurs in a hospital, the person in charge of the hospital is responsible for completing and filing the Certificate of Fetal Death with the NYS DOH and the Local Registrar. NYS Public Health Law 4160.5 restricts access to fetal death certificate information. No information whatsoever may be shared from this report. Any request for statistical information is restricted to the total aggregate number of fetal death reports filed. At no time shall any information be given as to a statistical break down by type of death. Refer these requests to the DOH. NYS Public Health Law Section 4160(4) required the City to destroy its fetal death records and indexes filed prior to January 1, 1988 no later than December 31, 1988. The City treats any fetal death record part of a bound birth or death record as a sealed record. D. Electronic Birth Certificates: Electronic Birth Certificate (EBC) is a computer software program that is used to generate birth certificates by a hospital. The software allows the hospital to reprint and correct the information contained within the Electronic Birth System (EBS). The process works as follows: 1. When the hospital determines all of the information is accurate on a birth certificate, it prints the certificate and has the attending physician formally execute the document. Vital Records Program Draft 10

2. NYS Public Health Law 4130(2) mandates that the hospital has five days from the date of birth to send the Local Registrar the birth certificate. 3. The electronic birth certificate when finalized must also be electronically transmitted to the NYS DOH by the hospital within this same five day period. 4. The electronic birth certificate becomes official when the Local Registrar receives it, signs it and thus official files it. It is important to check the birth certificate received for errors before signing the certificate. 5. IF a birth certificate has not yet been signed by the Local Registrar within this five day window AND the hospital has not yet transmitted the birth certificate electronically to the DOH, the certificate may be corrected by the hospital and a new corrected certificate sent to the Local Registrar for filing. 6. IF the hospital has transmitted the birth certificate electronically to the NYS DOH, BUT the Local Registrar has not yet signed the birth certificate: The local hospital and the Local Registrar may sign an affidavit for the NYS DOH that the birth certificate has not yet been filed and no copies of the birth certificate have been made. The NYS DOH may unlock the electronic data file so the hospital may correct the birth certificate for filing. The electronic birth certificate process begins again. Vital Records Program Draft 11

NYS DOH Registration Timelines: A. Birth Certificates: Public Health Law 4130(2) requires Certificate of Live Birth to be filed with the Local Registrar within five days of the date of birth. If the fifth day falls on a Saturday, Sunday or holiday, the filing of the Certificate of Live Birth may be postponed to the next business day. B. Death Certificates: NYS Public Health Law 414091) requires that death certificates be filed within 72 hours of the death. There may be no postponements due to a weekend or holiday. C. Report of Fetal Death: NYS Public Health Law 4160(2) requires a Report of Fetal Death be filed with the Local Registrar within 72 hours of the fetal death. If the 72 hour time period ends on a Saturday, Sunday or holiday, the filing may be postponed until the same hour on the next business day. Vital Records Program Draft 12

NYS DOH Standards for Accuracy and Acceptance: 1. Each event reported must contain the most current and accurate information available. 2. The use of a pencil or erasable ink is strictly prohibited when completing certificates. 3. All entries into a certificate must either be typewritten using a strong black ribbon or printed in permanent black ink. 4. Each line item of a certificate must be completed unless there is a legal reason to leave an item blank. One legal example of leaving an item blank would be a child born out of wedlock whose father is unknown. 5. Each item completed on a certificate must be legible. 6. Each entry must be contained within that particular line item. There may be no overlapping of entries or writing into another line item. 7. A certificate must have a neat, professional appearance. Pen erasures, whiteouts, cross-outs or other alterations render the document null and void. 8. If a certificate is found to be unacceptable for filing, the Local Registrar must return the certificate to the responsible person, remind him/her of the time deadlines, and request a replacement certificate. 9. If an error is not detected after a certificate is officially filed by the Local Registrar, a legal correction must be made according to procedures outlined in the section titled Corrections. Vital Records Program Draft 13

How to Legally File NYS DOH Certificates: The Local Registrar is responsible for filing a certificate when it meets the NYS DOH standards for filing. If a certificate is accepted, the Local Registrar: Signs the certificate. Dates the Certificate. Documents the Local District Number on the certificate that is unique to the City of Saratoga Springs. Documents the Local File Number which is a sequential number assigned to each birth and death certificate. o Births and deaths are indexed separately. o Births start with the number one each calendar year and are numbered sequentially thereafter. o Deaths start with the number one each calendar year and are numbered sequentially thereafter. Indexes the certificate. The Index is a list of births and deaths set up in alphabetical order within the year of the event. The index helps find a requested record by cross referencing the Certificate Holder s name with the Local File Number. o DOH-001: DOH Birth Index Form. o DOH-002: DOH Death Index Form. o Computer Index: The Local Registrar may create a computer software program to manage the birth and death records. NYS Public Health Law 4170(f) requires the Local Registrar transmit the top original copies of all birth and death certificates to the NYS DOH on the Friday of the week they are received. The Local Registrar must transmit the local health unit copies on this same schedule no matter how many certificate copies are received during the week in question. Vital Records Program Draft 14

How to Issue Copies of Vital Records: The NYS Public Health Law 4100(a) allows the Local Registrar to issue five types of copies pertaining to vital records: A. Certified Copy: A Certified Copy is a photographic reproduction of an actual certificate. The NYS DOH does not issue security watermarked Safety Paper for certified copies. The Local Registrar should utilize watermarked security safety paper for this purpose. 1. Certified Copy of a Birth Certificate: A Certified Copy of a Birth Certificate may only be issued to one of the following: A person with a NYS Court Order. A person 18 years of age and older who is named on the birth certificate. The parents of the person named on the birth certificate. A lawful representative of the person named or the parents of the person named on the birth certificate. The NYS Commissioner of Health. A municipal, state or federal agency when needed for official purposes. A Legal Guardian if the guardian is able to produce court certified legal guardian papers. Power of Attorney (POA) who produces an original POA document signed by the person named on the birth certificate. Non-Legal Guardians and/or Relatives may not obtain a copy of a person s certified birth certificate. If a certified transcript is needed for entry into a school or a nursing home, the Certified Copy of the Birth Certificate may be sent directly to the educational institution or the nursing home to government agency like Medicare/Medicaid to establish eligibility. 2. Certified Copy of a Death Certificate: An individual requesting a Certified Copy of a Death Certificate must complete and sign DOH-294A and must notarize the request. In this case, the individual must be the deceased person s spouse, parent or child and have in hand supporting documentation establishing a legal right to obtain the certified copy or transcript to a judicial order to obtain a certification. A Certified Copy of a Death Certificate may only be issued to one of the following: A person with a NYS Court Order issued on a showing of necessity. The spouse, parent or child of the deceased. A lawful representative of the spouse, parent or child of the deceased. Person requiring the need for a documented legal right or claim. A legal right or claim is established on the basis of documentation Vital Records Program Draft 15

demonstrating the requestor has a legal need for a copy of the death certificate. Documentation for this request would include: o Letter from a bank showing proof of a joint bank account requesting proof of the death of a joint account owner; o Letters of Testamentary from a person claiming to be the Executor/Executrix of the estate; or o Beneficiary of an insurance policy where the insurance policy is shown as proof of documentation. A person requiring the record for a documented medical need. A municipal, state or federal agency when needed for official purposes. A certified copy or certified transcript of death contain information from the Confidential Medical Section per the NYS DOH commencing with death certificates filed as of January 1, 1988. The following individuals may obtain information from the Confidential Medical Section for a Certified Copy of a Death Certificate or a Certified Transcript of Death upon specific request: A person with a NYS Court Order issued showing of necessity for the confidential medical information. The spouse, parent or child of the deceased. A lawful representative of the spouse, parent or child of the deceased. A person requiring the confidential medical information for a documented medical need. A person requiring the confidential medical information to establish a legal right or claim. A municipal, state or federal agency specifically requesting the confidential information for official purposes. Funeral Directors requesting a certified copy or certified transcript of death must make the request in writing by submitting DOH Form DOH-294A or on the EDRS, specifying the number of copies they need without the confidential medical information. A funeral director should not be given any copies of a deceased s certified copy or certified transcript of death after six months from the date of death. After this time period, the request must be made by the person in need of the information on the required NYS forms. Attorneys requesting a certified copy or certified transcript of death must submit the request on the attorney s letterhead or on an official NYS DOH application. The request must include the deceased s name, date of death, who the attorney represents, how the person named on the death certificate relates to the legal matter and the reason the copy is required. Please note the attorney must represent someone who is authorized to obtain a death certificate copy. If the request involves an estate, the attorney must show proof he or she is the attorney for the estate, represents the potential heir or represents someone contesting the will. Vital Records Program Draft 16

B. Certified Transcript: A Certified Transcript is a computer generated reproduction of the information contained within the actual certificate. The NYS DOH issues security watermarked Safety Paper for birth and death as: 1. Certified Transcript of Birth: DOH-3673: A Certified Transcript of Birth certificate may only be issued to one of the following: A person with a NYS Court Order. A person 18 years of age and older who is named on the birth certificate. The parents of the person named on the birth certificate. A lawful representative of the person named or the parents of the person named on the birth certificate. The NYS Commissioner of Health. A municipal, state or federal agency when needed for official purposes. A Legal Guardian if the guardian is able to produce court certified legal guardian papers. Power of Attorney (POA) who produces an original POA document signed by the person named on the birth certificate. Non-Legal Guardians and/or Relatives may not obtain a copy of a person s certified birth certificate. If a certified transcript is needed for entry into a school or a nursing home, the Certified Copy of the Birth Certificate may be sent directly to the educational institution or the nursing home to government agency like Medicare/Medicaid to establish eligibility. 2. Certified Transcript of Death: DOH-4144: An individual requesting a Certified Copy of a Death Certificate must complete and sign DOH-294A and must notarize the request. In this case, the individual must be the deceased person s spouse, parent or child and have in hand supporting documentation establishing a legal right to obtain the certified copy or transcript to a judicial order to obtain a certification. A Certified Transcript of Death certificate may only be issued to one of the following: A person with a NYS Court Order issued on a showing of necessity. The spouse, parent or child of the deceased. A lawful representative of the spouse, parent or child of the deceased. Person requiring the need for a documented legal right or claim. A legal right or claim is established on the basis of documentation demonstrating the requestor has a legal need for a copy of the death certificate. Documentation for this request would include: o Letter from a bank showing proof of a joint bank account requesting proof of the death of a joint account owner; o Letters of Testamentary from a person claiming to be the Executor/Executrix of the estate; or Vital Records Program Draft 17

o Beneficiary of an insurance policy where the insurance policy is shown as proof of documentation. A person requiring the record for a documented medical need. A municipal, state or federal agency when needed for official purposes. A certified copy or certified transcript of death contain information from the Confidential Medical Section per the NYS DOH commencing with death certificates filed as of January 1, 1988. The following individuals may obtain information from the Confidential Medical Section for a Certified Copy of a Death Certificate or a Certified Transcript of Death upon specific request: A person with a NYS Court Order issued showing of necessity for the confidential medical information. The spouse, parent or child of the deceased. A lawful representative of the spouse, parent or child of the deceased. A person requiring the confidential medical information for a documented medical need. A person requiring the confidential medical information to establish a legal right or claim. A municipal, state or federal agency specifically requesting the confidential information for official purposes. Funeral Directors requesting a certified copy or certified transcript of death must make the request in writing by submitting DOH Form DOH-294A or on the EDRS, specifying the number of copies they need without the confidential medical information. A funeral director should not be given any copies of a deceased s certified copy or certified transcript of death after six months from the date of death. After this time period, the request must be made by the person in need of the information on the required NYS forms. Attorneys requesting a certified copy or certified transcript of death must submit the request on the attorney s letterhead or on an official NYS DOH application. The request must include the deceased s name, date of death, who the attorney represents, how the person named on the death certificate relates to the legal matter and the reason the copy is required. Please note the attorney must represent someone who is authorized to obtain a death certificate copy. If the request involves an estate, the attorney must show proof he or she is the attorney for the estate, represents the potential heir or represents someone contesting the will. C. Certification: A computer generated or other reproduction of ONLY the name of the person to whom the certificate relates to, the date and place of the event and the certificate filing date. The NYS DOH issues security watermarked Safety Paper for birth and death as: 1. Certification of Birth: DOH-2248. A Certification of Birth may only be issued to one of the following: Vital Records Program Draft 18

o The person 18 years of age or older named on the birth certificate; o The person over 18 years of age if a certification is what they prefer; o A person who can demonstrate the record is required for a judicial or other lawful purpose; or o Legal Guardian if the guardian is able to produce court certified legal guardian papers. 2. Certification of Death: DOH-2825. An individual requesting a Certified Copy of a Death Certificate must complete and sign DOH-294A and must notarize the request. In this case, the individual must be the deceased person s spouse, parent or child and have in hand supporting documentation establishing a legal right to obtain the certified copy or transcript to a judicial order to obtain a certification. A Certified Transcript of Death certificate may only be issued to one of the following: A person with a NYS Court Order issued on a showing of necessity. The spouse, parent or child of the deceased. A lawful representative of the spouse, parent or child of the deceased. Person requiring the need for a documented legal right or claim. A legal right or claim is established on the basis of documentation demonstrating the requestor has a legal need for a copy of the death certificate. Documentation for this request would include: o Letter from a bank showing proof of a joint bank account requesting proof of the death of a joint account owner; o Letters of Testamentary from a person claiming to be the Executor/Executrix of the estate; or o Beneficiary of an insurance policy where the insurance policy is shown as proof of documentation. A person requiring the record for a documented medical need. A municipal, state or federal agency when needed for official purposes. A certified copy or certified transcript of death contain information from the Confidential Medical Section per the NYS DOH commencing with death certificates filed as of January 1, 1988. The following individuals may obtain information from the Confidential Medical Section for a Certified Copy of a Death Certificate or a Certified Transcript of Death upon specific request: A person with a NYS Court Order issued showing of necessity for the confidential medical information. The spouse, parent or child of the deceased. A lawful representative of the spouse, parent or child of the deceased. A person requiring the confidential medical information for a documented medical need. Vital Records Program Draft 19

A person requiring the confidential medical information to establish a legal right or claim. A municipal, state or federal agency specifically requesting the confidential information for official purposes. Funeral Directors requesting a certified copy or certified transcript of death must make the request in writing by submitting DOH Form DOH-294A or on the EDRS, specifying the number of copies they need without the confidential medical information. A funeral director should not be given any copies of a deceased s certified copy or certified transcript of death after six months from the date of death. After this time period, the request must be made by the person in need of the information on the required NYS forms. Attorneys requesting a certified copy or certified transcript of death must submit the request on the attorney s letterhead or on an official NYS DOH application. The request must include the deceased s name, date of death, who the attorney represents, how the person named on the death certificate relates to the legal matter and the reason the copy is required. Please note the attorney must represent someone who is authorized to obtain a death certificate copy. If the request involves an estate, the attorney must show proof he or she is the attorney for the estate, represents the potential heir or represents someone contesting the will. D. Sealed Birth Records: Sealed Birth records are generated by the NYS DOH. The NYS DOH prepares amended birth certificates in the event of adoptions, legal name changes, court determination of parentage or voluntary acknowledgement of parentage after the original birth certificate has been filed. Our Local Registrar will receive copies of amended birth certificates under seal. Copies of the original birth certificate, cover letter DOH-2728 or any other information regarding the original birth certificate may not be issued except by the Order of a New York State Court. E. No Record Certification of Birth: DOH-3656: A No Record of Certification of Birth is issued when a search for the record is made and none can be found. F. No Record Certification of Death: DOH-3405: A No Record of Certification of Death is issued when a search for the record is made and none can be found. G. Fetal Death Certificates: The City s Local Registrar is not authorized to issue copies of a fetal death certificate. Please refer all requests for copies of fetal death certificates to the NYS DOH. Vital Records Program Draft 20

Recording Birth and Death Press Numbered Forms: Each birth and death certificate is issued on watermarked security Safety Paper furnished by the NYS DOH to prohibit fraud. Forms provided by the NYS DOH have press numbered forms which are assigned to blank forms in the upper right hand corner. Press Number Log: The Local Registrar is responsible for maintaining the control and accuracy of the inventory of the forms by establishing a Press Number Log: The Press Number Log is a list corresponding to the press numbers printed on each blank form. Next to each Press Number, the log should indicate how the form was used including: o Name and address of the person to whom the copy was issued, and o Receipt number or note if the copy was spoiled and voided. The Log is an audit tool allowing the Local Registrar to determine whether all the blank forms were used appropriately. If a vital records copy is determined to be part of a crime, the Press Number Log will allow the Local Registrar to determine who, when and where the copy was issued. Voided Forms: The NYS DOH mandates annual reporting of voided forms and provides the Local Registrar with the following forms for this purpose: Report of Voided Certified Transcript of Birth Forms (DOH-2824), and Report of Voided Certified Transcript of Death Forms (DOH-2824). Verification Statements: Verification statements contain the raised seal of the municipality and a verification statement signed and dated by the Local or Deputy Registrar. The following rules apply: Certified Transcript and Certification Forms supplied by the NYS DOH already include verification statements. Local and Deputy Registrars may allow Subregistrars the use of their signature stamp. A Sample Birth Verification Statement for A Certified Copy should look like this: This is to certify that the information concerning the birth of the person named on this record is a true and accurate (transcription, copy or certification) of the information recorded on the original local record of birth with the local registrar of Saratoga Springs, New York. / Signature of Local or Deputy Registrar, Date Do Not accept this transcript unless the raised seal of the City of Saratoga Springs, NY is affixed thereon. ANY ALTERATION OR ERASURE VOIDS THIS TRANSACTION Vital Records Program Draft 21

Genealogy Research: Section 35.5 of the NYS Health Commissioner s Rules and Regulations govern an individual s right to information in genealogy research. Information on birth, death and marriage records may be provided in the form of uncertified copies or transcripts. Each uncertified copy or an uncertified transcript must include the statement FOR GENEALOGICAL PURPOSES ONLY. If the record is not on file, an uncertified statement should be provided stating that the search disclosed no record provided to the applicant. The Local Registrar, Deputy Registrar or Subregistrars may be authorized to conduct genealogy record searches. No other persons such as members of the public, historians, genealogists, or any other persons may be allowed access to vital records to search, copy, index or record in any manner ANY vital record or index. The following rules apply to the release of information for genealogy research for: Birth Certificates: 1. No information may be released from a sealed birth certificate; 2. The birth certificate must have been on file for a minimum of 75 years; and 3. The person to whom the birth certificate relates is known by the applicant to be deceased. Death Certificates: 1. The death certificate has been on file for at least 50 years. Marriage Certificates: 1. The marriage certificate has been on file for at least 50 years; and 2. The bride and groom are known by the applicant to be deceased. Each of the time periods may be waived for birth, death and/or marriage records if the applicant may show proof of being a descendent or has been designated to act on behalf of the descendent of the person whose record is being sought. A descendent is defined as a person in the direct line of descent such as a son, daughter, grandson, granddaughter, etc. Genealogy copies issued under these circumstances must be UNCERITFIED and include the statement: FOR GENEALOGICAL PURPOSES ONLY. Vital Records Program Draft 22

Types of Communication Requests for Vital Records: Basic Rules on Communication: ALL requests for vital records are CONFIDENTIAL. EVERY request for a vital record within the City of Saratoga Springs must be date stamped with the date of receipt of the Accounts Department. Any request for a vital record for a MISSING CHILD should immediately be reported to the NYS DOH and the police department. NEVER provide a telephone verification of a vital record in the City s possession. Step Children: If a person has been raised by a stepparent and is unaware his or her birth certificate may be under a different name, advise the applicant to check with family members to determine if their birth certificate is filed under another name. If the applicant is able to produce the correct name to support the application of a birth certificate, a copy of the birth certificate may be issued if the information may be correctly linked. If the applicant is not able produce the correct name or facts to support the application of a birth certificate, the Local Registrar must issue a No Record Certification of Birth. A. In Person Requests: A request for a vital record may be accepted from a qualified applicant in person is the following conditions are followed: 1. The applicant completes and signs the NYS DOH Application Form DOH- 296A; 2. The applicant presents: a. his/her driver s license, b. NYS issued Identification Card, c. US Military Identification Card, d. US Passport, e. Employer s Identification Card, f. A police report documenting the applicant s name, address and the theft or loss of positive identification, or g. Two current utility bills issued immediately preceding the application which shows the requestor s same name and address; and 3. The applicant meets the eligibility requirements to receive a copy. Vital Records Program Draft 23

B. Mail Requests: Applicants requesting vital record information via the mail must complete NYS Form DOH-296A or a letter stating the following: The applicant must provide the name, date of birth, place of birth, father s first and last name, and mother s first and last name; and The applicant provides his/her current name and address along with their relationship to the person named on the birth certificate. EXCEPTIONS: 1. If the applicant s return address is a Post Office Box with no street address or the return address is to a third party, you must obtain a notarized signed consent of the person named on the birth certificate. 2. If the applicant is neither the person nor the parent of the person named on the birth certificate, the applicant must provide supporting documents to establish a judicial purpose for obtaining the certificate, and a short form Certificate of Birth may be issued. 3. An adopted person may make a request supplying their original birth information. If such a request is made, you must advise them that no record exists and refer them to the NYS DOH. NEVER tell them that the record is on file but under seal. Adopted persons may only obtain original birth certificates by NYS Court Order. C. Telephone Requests: The Local Registrar may take a telephone request from a qualified applicant under the following conditions: The applicant is requesting his/her birth certificate; or The applicant is requesting the birth certificate of his/her child; and The applicant provides ALL of the information required in a written mail request including their telephone number; and The Local Registrar is not sending the copy to a Post Office Box or to a third party. If expedited service is required, request the applicant use Express or Overnight Mail. D. Facsimile Requests: A request for a vital record may be accepted from a qualified applicant if the applicant includes a copy of his/her driver s license or US Passport, signs the request and meets all the conditions of a telephone request. Vital Records Program Draft 24