N.Y. Comp. Codes R. & Regs. tit. 9 § 14.1

Current through Register Vol. 46, No. 50, December 11, 2024

Section 14.1 - Regulation No. 1: Freedom of information

In accordance with the provisions of section eighty seven of the Public Officers Law, I, Mario M. Cuomo, Governor of the State of New York, do hereby promulgate the following regulation:

REGULATION ONE

Freedom of Information

Section 1. Purpose.

2. Definitions.

3. Custodian of records; designation of records access officer.

4. Procedure for obtaining records.

5. List of records.

6. Fees.

7. Prevention of invasions of privacy.

8. Grant or denial of access to records.

9. Appeals.

10. Effective date.

11. Repeal of regulation.

Section 1. Purpose. The purpose of this regulation is to set forth the methods and procedures governing the availability, location and nature of those records of the Executive Chamber subject to the provisions of article 6 of the Public Officers Law, known as the Freedom of Information Law.

§ 2. Definitions. For the purposes of this regulation:

(a) The term Executive Chamber means the Office of the Governor, including the offices of the secretary, counsel, appointments officer and press secretary to the Governor, as well as such other offices or commissions as may have been or may be created, from time to time, in the Office of the Governor by executive order or otherwise.

(b) The term record or records means any file, memorandum, document or other writing constituting:

(i) statements of final policy and determinations which have been adopted by the Executive Chamber and any statistical or factual tabulations which led to the formulation thereof;

(ii) minutes of public hearing held by the Executive Chamber;

(iii) internal or external audits and statistical or factual tabulations made by or for the Executive Chamber;

(iv) administrative staff manuals and instructions to staff that affect members of the public;

(v) the payroll record; and

(vi) any other files, records, papers or documents required by any provision of law to be made available for public inspection.

As used in this subdivision, the term statistical tabulation means a collection or orderly presentation of numerical data logically arranged in columns and rows or graphically, and the term factual tabulation means a collection of statements of objective information logically arranged and reflecting objective reality, actual existence or an actual occurrence. Opinions, policy options and recommendations do not constitute statistical or factual tabulations.

(c) The term payroll record means an itemized record setting forth the name, business address, title and salary of every officer and employee of the Executive Chamber.

(d) The term workday means any day except Saturday, Sunday, a public holiday or a day on which the State Capitol is otherwise closed for general business.

(e) The term secretary means the Secretary to the Governor.

(f) The term counsel means the Counsel to the Governor and any of his assistants designated by him to perform any or all of his functions hereunder.

(g) The term fiscal officer means the officer or employee of the Executive Chamber responsible for certifying the Executive Chamber payroll.

(h) The term records access officer means the employee or employees of the Executive Chamber designated by the secretary to coordinate the responses to requests for access to records.

§ 3. Custodian of records; designation of records access officer. The secretary to the Governor shall be the custodian of the records of the Executive Chamber, other than the payroll record. The fiscal officer shall maintain the payroll record and be the custodian thereof. The secretary shall designate one or more employees of the Executive Chamber as records access officer, who shall have the duty of coordinating the response to public requests for access to records. Such designation shall also state the locations where applications to inspect records may be submitted and where records shall be available for public inspection and copying.

§ 4. Procedure for obtaining records. Any person wishing to inspect and/or obtain a copy of any record of the Executive Chamber, may make application to the records access officer. Such application shall be in writing and shall reasonably describe the record or records sought. The application may be submitted to the records access officer either personally at the designated location on any workday between the hours of 9:00 a.m. and 4:00 p.m., or by mail addressed to the designated location. Upon receipt of such an application, in the proper form and at the appropriate time, the records access officer shall search for the record requested. Within five workdays of receipt of an application, the records access officer shall provide or deny access to the record sought or furnish a written acknowledgment of receipt of the application and a statement of the approximate date when the request will be granted or denied. If the records access officer determines that the record requested is not in his custody, the records access officer shall advise the applicant, as the case may be (i) that the record does not exist, (ii) that the record is in the custody of another specified agency, or (iii) that the record cannot be found after a diligent search. If the records access officer determines that the record requested is in his custody, the records access officer shall either (i) produce the record for inspection at his office (and, if so requested and upon payment of the appropriate fee, shall make and certify a copy of the record), (ii) advise the applicant that the record is in his custody and make arrangements for inspection and/or copying at a later time, or (iii) deny access to the record as provided in section eight of this regulation. The records access officer, in his discretion, may waive compliance with any formality prescribed by this section.

§ 5. List of records. On behalf of the Executive Chamber, the records access officer shall maintain and make available for inspection and copying at his office a current list, reasonably detailed by subject matter, of the types of records produced, filed or kept in the Executive Chamber. Such list shall be in conformity with such regulations as may be promulgated by the Committee on Open Government. Any person desiring a copy of such list may request a copy thereof personally or by mail and one shall be supplied.

§ 6. Fees. The fee for photocopies of records shall be 25 cents per page not exceeding nine inches by fourteen inches in size. The fees for other types of copies or transcripts and for certifications shall be such reasonable amounts as the records access officer shall establish, which shall not exceed the actual reproduction or certification costs. Notwithstanding the above, the records access officer may, in his discretion, waive all or any portion of the fees authorized by this section for any record or class of records.

§ 7. Prevention of invasions of privacy. In accordance with the provisions of subdivision two of section eighty nine of the Public Officers Law and in conformity with such guidelines as may be promulgated by the Committee on Open Government regarding the prevention of unwarranted invasions of personal privacy, the records access officer may delete from any record identifying details, the disclosure of which would result in an unwarranted invasion of personal privacy, prior to making such record available for inspection and/or copying. In the event that one or more deletion is so made from any document, the records access officer shall provide written notice of that fact to the person given access to the record. If the record is such that the personal matters cannot be fully deleted without substantively affecting the record or the identifying details cannot be effectively deleted, the records access officer shall deny access to such record as provided in section eight of this regulation.

§ 8. Grant or denial of access to records. If the records access officer determines that an application to inspect and/or copy records pertains to information required to be disclosed under section eighty seven of the Public Officers Law and not exempt from disclosure as an unwarranted invasion of personal privacy or otherwise, he shall grant the application. If the records access officer determines that an application to inspect and/or copy records pertains to information exempted from disclosure by section eighty seven of the Public Officers Law or under section seven of this regulation pursuant to subdivision two of section eighty-nine of such law, he shall deny such application. Notwithstanding the foregoing, the records access officer may waive any exemption from disclosure provided by section eighty seven of the Public Officers Law, if he shall determine that disclosure (i) is in the public interest, and (ii) is authorized by law. In denying any application to inspect and/or copy records, the records access officer shall indicate his reasons for such denial and shall advise the applicant of his right to appeal such denial to the counsel within 30 days.

§ 9. Appeals. Any person whose application to inspect and/or copy records has been denied pursuant to section eight of this regulation may appeal such denial to the counsel at his office at the State Capitol in Albany. Such appeal shall be in writing and set forth: the name and address of the applicant; the specific record or records requested; the date of the denial; and the reasons given for such denial. Upon receipt of a written appeal, the counsel shall transmit to the Committee on Open Government a copy of the appeal, review the matter and affirm, modify or reverse the denial. If the counsel affirms or modifies the denial, he shall, within seven days of receipt of the appeal (i) communicate in writing his reasons for such affirmation or modification to the person making the appeal, and (ii) inform such person of his right to appeal such affirmation or modification under article 78 of the Civil Practice Law and Rules. If the counsel shall reverse the denial, he shall, within seven days of receipt of the appeal, inform the applicant in writing that the records access officer will make the record or records available for inspection and/or copying. The counsel shall transmit to the Committee on Open Government a copy of his action on the appeal.

§ 10. Effective date. This regulation shall take effect immediately upon filing with the Secretary of State.

§ 11. Repeal of regulation. Regulation 13.2, entitled Freedom of Information, adopted by Governor Malcolm A. Wilson and dated August 30, 1974, is hereby repealed.

Signed: Mario M. Cuomo

Dated: December 1, 1983

N.Y. Comp. Codes R. & Regs. Tit. 9 § 14.1