New York regulations

Title 9 Part 145

Executive Department

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9 NYCRR 145-1.0 - Purpose

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The purpose of this Part is to set forth the methods and procedures governing the availability, location and nature of those records of the Division of the Budget subject to the provisions of article 6 of the Public Officers Law, known as the Freedom of Information Law.

9 NYCRR 145-1.1 - Definitions

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(a)For the purposes of this Part:
(1)The term division means the Division of the Budget.
(2)The term record or records means any information kept, held, filed, produced or reproduced, in any physical form; including but not limited to reports, statements, examinations, memoranda, opinions, folders, files, books, manuals, pamphlets, forms, papers, designs, drawings, maps, photos, letters, microfilms, computer tapes or discs, rules, regulations and codes.

As used in this paragraph, the terms memoranda, reports, statements, opinions, files, and papers do not generally include interagency or intra-agency materials, except those that are statistical or factual tabulations or data, instructions to staff that affect the public, or final agency policy or determinations. Discussions of policy options and recommendations are not statistical or factual tabulations, and are not included in the definition of records.

(3)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.
(4)The term director means Director of the Budget.
(5)The term records access officer means the deputy director designated by the director to receive and respond to inquiries to inspect and copy records maintained by the division.
(6)The term appeals officer refers to the director or the executive deputy director, if the director shall so designate, who shall hear appeals regarding denial of access to records maintained by the division.
(b)The Division of the Budget will post in a conspicuous location the name, title, business address and business telephone number of its records access officer and appeals officer, as well as a description of the place where records will be made available for inspection and copying.

9 NYCRR 145-1.2 - Procedures for obtaining records

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(a)
(1)The records access officer shall be the custodian of the records of the division. Any person wishing to inspect and/or obtain a copy of any record, may make application to the records access officer. Applications shall be oral, or in writing on a form to be prescribed by the records access officer. Blank forms may be obtained from the records access officer either personally on any workday in Room 113 of the State Capitol in Albany, or by mail, addressed to that office, as the records access officer may specify on the application form. Upon receipt of a request, the records access officer shall search for the record requested. 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 requested is not in his custody;
(ii)that the record does not exist;
(iii)that the record is in the custody of another specified agency; or
(iv)that the records of which the agency is a custodian 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 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), or advise the applicant, in writing, as provided in section 145-1.6 of this Subpart.

(2)In view of the time required to conduct record searches, locate and forward certain record information, the division reserves the right to respond to inquiries within five workdays of receiving the request. Every effort will be made, however, to respond to each request as soon as possible. If for any reason additional time is required to produce records, the records access officer shall acknowledge receipt of the request within five working days of such receipt, explain the reason for the delay, and provide an estimate of the date on which a completed response will be forthcoming. The acknowledgment will also notify the requesting party that failure by the division to grant access to the requested record within 10 working days may, by law, be construed as a denial of access and may be appealed.
(3)The records access officer may at his discretion waive any formality prescribed by this subdivision, including the use of prescribed application forms.

9 NYCRR 145-1.3 - List of records

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On behalf of the division, 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 and kept in the division. This list shall be in conformity with regulations promulgated by the Committee on Open Government, and will be updated twice a year. Any person desiring a copy of the list may request a copy personally or by mail and one shall be supplied.

9 NYCRR 145-1.4 - Fees for copies of records

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(a)Existing fees.

The current fees for copies of materials published by the division shall remain in effect.

(b)Except as provided in subdivision (a) of this section, the fee for photocopies of records shall be 25 cents per page not exceeding 9 × 15 inches in size. The fee for other types of copies or transcripts shall be a reasonable amount to cover actual reproduction costs, as established by the records access officer. Notwithstanding the above, the records access officer may, at his discretion, waive all or any portion of the fees authorized by this section for any record or class of records.

9 NYCRR 145-1.5 - Prevention of invasions of privacy

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In accordance with the provisions of subdivision 2 of section 89 of the Public Officers Law and in conformity with guidelines 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 deletion or more 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.

9 NYCRR 145-1.6 - Grant or denial of access to records

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If the records access officer determines that an application to inspect and/or copy records pertains to information specifically exempted from disclosure by subdivision 2 of section 87 of the Public Officers Law, he shall deny such application. If the materials requested do not fall under the categories enumerated in subdivision 2 of section 87 of the Public Officers Law, the records access officer will grant the application. In denying any application to inspect and/or copy records, the records access officer shall indicate reasons for denial in writing, and shall advise the applicant in writing of his right to appeal the denial to the appeals officer.

9 NYCRR 145-1.7 - Appeals

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Any person whose application to inspect and/or copy records has been denied pursuant to section 145-1.6 of this Subpart may appeal the denial to the appeals officer at his office at the State Capitol in Albany. The appellant will be provided with the appeals officer's full name, business address and business telephone number. Appeal must be made within 30 days of denial, in writing, and must set forth: the name and address of the applicant, the specific record(s) requested, the date of the denial, and the reasons given for such denial. The appeals officer shall, upon receipt of a written appeal, immediately forward a copy of the appeal to the Committee on Public Access to Records and review the matter and affirm, modify or reverse the denial. If the appeals officer affirms or modifies the denial, he shall, within seven business days of receipt of the appeal:

(a)communicate his reasons for such affirmation or modification to the person making the appeal; and
(b)inform such person of his right to appeal the affirmation or modification under article 78 of the Civil Practice Law and Rules. A copy of all decisions by the appeals officer on appeals will also be forwarded to the Committee on Public Access to Records.

9 NYCRR 145-1.8 - Effective date

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This Part will become effective on November 15, 1978.

9 NYCRR 145-2.0 - Purpose

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The purpose of this Subpart is to set forth the methods and procedures governing the availability, location and nature of those records of the Division of the Budget subject to the provisions of article 6-A of the Public Officers Law, known as the Personal Privacy Protection Law, and the rules of the Committee on Open Government.

9 NYCRR 145-2.1 - Definitions

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9 NYCRR 145-2.2 - Designation of privacy compliance officer

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(a)The records access officer, as defined in section 145-2.1 of this Subpart shall also serve as the privacy compliance officer, whose business address is Division of the Budget, State Capitol, Albany, NY 12223, and whose business phone number is (518) 474-2331.
(b)The deputy privacy compliance officer is the Director of Administrative Services whose address is the same as above and whose business phone number is (518) 474-5312.

9 NYCRR 145-2.3 - Requesting records

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(a)All requests for personal records shall be made in writing to the deputy privacy compliance officer, except that the Division of the Budget may make records available upon an oral request made in person after the applicant has demonstrated proof of identity.
(b)A request shall reasonably describe the record sought. Whenever possible, the data subject should supply identifying information that assists the agency in locating the records sought.
(c)Requests based upon categories of information described in a notice of a system of records or a privacy impact statement shall be deemed to reasonably describe the record sought.
(d)Within five business days of the receipt of a request, the agency shall provide access to the record, deny access in writing explaining the reasons therefor, or acknowledge the receipt of the request in writing, stating the appropriate date when the request will be granted or denied, which date shall not exceed 30 days from the date of the acknowledgment.

9 NYCRR 145-2.4 - Inspecting records

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(a)Records shall be available for inspecting and copying by data subjects or their authorized representatives on every day that the Division of the Budget offices are open for transacting business between the hours of 9 a.m. and 5 p.m.
(b)Records may be inspected at locations designated by the deputy privacy protection officer designated in section 145-2.2 of this Subpart.
(c)The identity of a data subject who requests access to his/her record may require verification as follows:
(1)If the information is being sought in person, appropriate identification such as a driver's license, or similar information that confirms that the record being sought pertains to the data subject.
(2)If the information is being requested by mail, certain minimum identifying data, such as date of birth and knowledge of some data element in the record that only the concerned individual is likely to know. If the record concerns information of a sensitive nature, the requesting individual may be required to produce a notarized statement of identity.

9 NYCRR 145-2.5 - Amending records

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Within 30 business days of a request from a data subject for correcting or amending a record or personal information that is reasonably described and that pertains to the data subject, the agency shall:

(a)amend or correct the record, and inform the data subject that, on request, such correction or amendment will be provided to any person or governmental unit to which the record or personal information has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law; or
(b)inform the data subject in writing of its refusal to correct or amend the record, including the reasons therefor.

9 NYCRR 145-2.6 - Denial of requests for records or for amending or correcting personal information records

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(a)Denial of a request for records or for amending or correcting personal information records:
(1)shall be in writing, explaining the reasons therefor; and
(2)identifying the person to whom an appeal may be directed.
(b)A failure to grant or deny access to records within five business days of the receipt of a request or within 30 days of an acknowledgment of the receipt of a request, or a failure to respond to a request for amending or correcting a record within 30 business days of receipt of such request, shall be construed as a denial that may be appealed.
(c)Any such denial may be appealed to the records access appeals officer, as defined in section 145-2.1 of this Subpart.

9 NYCRR 145-2.7 - Appealing a denial

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(a)Any person denied access to a record or denied a request to amend or correct a record or personal information pursuant to section 145-2.6 of this Subpart may, within 30 days of such denial, appeal to the records access appeals officer, as defined in section 145-2.1 of this Subpart.
(b)The time for deciding an appeal shall commence upon receipt of an appeal that identifies:
(1)the date and location of a request for a record of for amending or correcting a personal information record;
(2)the record that is the subject of the appeal; and
(3)the name and return address of the appellant.
(c)Within seven business days of an appeal of a denial of access, or within 30 days of an appeal concerning a denial of a request for correcting or amending a record, the person determining such appeals shall:
(1)provide access to or correct or amend the record or personal information; or
(2)fully explain in writing the factual and statutory reasons for further denial and inform the data subject of the right to seek judicial review of such determination pursuant to article 78 of the Civil Practice Law and Rules.
(d)If, on appeal, a record or personal information is corrected or amended, the data subject shall be informed that, on request, the correction or amendment will be provided to any person or governmental unit to which the record or personal information has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision (1) of section 96 of the Public Officers Law.
(e)The Division of the Budget will immediately forward to the Committee on Open Government a copy of any appeal made pursuant to this Subpart upon receipt, the determination thereof and the reasons therefor at the time of such determination.

9 NYCRR 145-2.8 - Statement of disagreement by data subject

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(a)If correction or amendment of a record or personal information is denied in whole or in part upon appeal, the determination rendered pursuant to the appeal shall inform the data subject of the right to:
(1)file with the Division of the Budget a statement of reasonable length setting forth the data subject's reasons for disagreeing with the determination; and
(2)request that such a statement of disagreement be provided to any person or governmental unit to which the record has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law.
(b)Upon receipt of a statement of disagreement by a data subject, the Division of the Budget will:
(1)clearly note any portions of the record that are disputed; and
(2)attach the data subject's statement as part of the record.
(c)When providing a data subject's statement of disagreement to a person or governmental unit in conjunction with a disclosure made pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law, the Division of the Budget may also include a concise statement of its reasons for not making the requested amendment or correction.

9 NYCRR 145-2.9 - Fees

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(a)No fee will be charged for:
(1)inspecting records;
(2)searching for records; or
(3)any certification pursuant to this Subpart.
(b)Copies of records shall be provided:
(1)at 25 cents per page, for a page not exceeding 9 × 15 inches in size; or
(2)at a reasonable amount to cover actual reproduction costs, as established by the deputy privacy protection officer for other types of copies.

9 NYCRR 145-2.10 - Severability

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If any provision of this Part or the application thereof to any person or circumstance is adjudged invalid by a court of competent jurisdiction, such judgment shall not affect or impair the validity of the other provisions of this Subpart of the application thereof to other persons and circumstances.

9 NYCRR 145.1 - 145.1 to 145.8 [Renumbered]

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Former section numbers

9 NYCRR 145.0
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