Majority
OPINION OF THE COURT
The issue presented on this appeal is whether the Suffolk County Clerk is required by the Freedom of Information Law (FOIL) to provide certain land records requested by Data Tree, LLC, a commercial provider of on-line public land records, and if so, whether the records must be provided in the electronic format specified by Data Tree. We hold that questions of fact exist as to whether compliance with such request would require the Clerk to disclose information excluded under the privacy exemption of FOIL and whether the Clerk has the ability to
I
Data Tree is a national company that provides on-line public land records such as deeds, mortgages, liens, judgments, releases and maps, and maintains a database of nearly two billion documents, providing its customers with immediate electronic access to the information. Its customers are those entities who purchase, sell, finance and insure property. Data Tree obtains the public land records by requesting them from county clerks, or other public officials who have the responsibility of recording and archiving such documents, throughout the country.
In January 2004, Data Tree, pursuant to FOIL, wrote to the Records Access Officer of the Suffolk County Clerk’s Office requesting copies of various public land records from January 1, 1983 to the present. It asked the Clerk to provide these records in “Tiff images or images in the electronic format regularly maintained by the County ... on CD-ROM or other electronic storage medium regularly used by the County ... If electronic images are not maintained, then [in] microfilm [format].”
The Clerk failed to respond to the request within the five-day period required by Public Officers Law § 89 (3), thereby constructively denying the request. Upon Data Tree’s administrative appeal, the Suffolk County Attorney also denied the request, identifying three reasons: (1) the FOIL request would require rewriting and reformatting of the data, which the Clerk’s Office is not required to do; (2) disclosure would constitute an unwarranted invasion of personal privacy due to the volume of the records requested and the commercial nature of Data Tree’s business; and (3) the records are available for copying and/or downloading from the computer terminals at the Clerk’s Office.
Data Tree then brought the instant CPLR article 78 proceeding seeking a judgment directing the Clerk to provide the records sought along with costs and attorneys’ fees.
Supreme Court held that “[t]he Clerk’s Office has rightly denied petitioner’s request” ( 2005 NY Slip Op 30134 [U], *3). It noted that many of the requested documents are available either by computer or in paper form at the Clerk’s Office or on its Web site. Additionally, the court adopted the argument of the
The Appellate Division affirmed, holding first that the Clerk’s Office established an exemption to FOIL, namely, that disclosure of the documents sought would entail an unwarranted invasion of personal privacy ( 36 AD3d 804 [2d Dept 2007]). The Appellate Division stated that the burden was on the Clerk to prove this exemption and that the Clerk here demonstrated “in a plausible fashion” that the exemption applied (id. at 805). The court then shifted the burden to Data Tree to establish that the claim of exemption was erroneous or that the Clerk acted in an arbitrary and capricious manner in attempting to invoke an exemption. The court held that Data Tree failed to meet that burden, stating:
“To the extent that the request was viewed by the Clerk as data mining, the Clerk determined that such request was clearly within the ambit of the enumerated exemptions to FOIL. In view of the rapid advances in technology, the misuse of that data for purposes unfathomable only a few short years ago is now possible. Whether such raw data (as opposed to the records actually maintained) should be available, and what constraints, if any, should be placed on that access, is a public policy better addressed by the appropriate legislative bodies” (id. at 805-806).
The Appellate Division noted that the right to access and copy such public records has not been construed to “require extraordinary efforts by the agency to provide the records in any manner requested and without regard to other statutorily mandated obligations to take prudent efforts to protect the guaranteed privacy interests of the citizens of the state” (id. at
II
FOIL provides the public with broad “access to the records of government” (Public Officers Law § 84). The term “record” is defined to include:
“[A]ny information kept, held, filed, produced or reproduced by, with or for an agency or the state legislature, in any physical form whatsoever 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 or codes” (Public Officers Law § 86 [4] [emphasis supplied]).
An agency must “make available for public inspection and copying all records” unless it can claim a specific exemption to disclosure (see Public Officers Law § 87 [2]; § 89 [3]). However, the exemptions are to be narrowly interpreted so that the public is granted maximum access to the records of government (Matter of Capital Newspapers, Div. of Hearst Corp. v Whalen, 69 NY2d 246 , 252 [1987]).
In denying Data Tree’s FOIL request, the Clerk relied in part on the privacy exemption, which authorizes each agency to deny access to records or portions of such records that, if disclosed, would constitute an “unwarranted invasion of personal privacy” (Public Officers Law § 87 [2] [b]). The law defines an “unwarranted invasion of personal privacy” with a nonexclusive list of examples (see Public Officers Law § 89 [2] [b] [i]-[vi]).
Data Tree contends that the Appellate Division used an improper burden-shifting analysis to determine whether the privacy exemption applied in this case. We agree. FOIL is based on a presumption of access to the records, and an agency (in this case the Clerk) carries the burden of demonstrating that the exemption applies to the FOIL request (see Public Officers Law § 89 [4] [b]; Matter of Hanig v State of N.Y. Dept. of Motor Vehs., 79 NY2d 106 , 109 [1992]). Contrary to the Appellate Division’s view, the Clerk must meet this burden in more than just a “plausible fashion.” In order to deny disclosure, the Clerk must show that the requested information “falls squarely within
Similarly, it was error for the Appellate Division to conclude that as a matter of law the Clerk met its burden in establishing that the privacy exemption to FOIL applies in this case. Although the court failed to articulate the specific basis for its holding, it remarked that Data Tree is a commercial enterprise and was seeking the documents for “data mining” purposes. However, FOIL does not require the party requesting the information to show any particular need or purpose (see Matter of Daily Gazette Co. v City of Schenectady, 93 NY2d 145 , 156 [1999]; Farbman, 62 NY2d at 80 ). Data Tree’s commercial motive for seeking the records is therefore irrelevant in this case and constitutes an improper basis for denying the FOIL request.
We note, however, that motive or purpose is not always irrelevant to a request pursuant to FOIL. Public Officers Law § 89 (2) (b) (iii) includes as an “unwarranted invasion of personal privacy” the “sale or release of lists of names and addresses if such lists would be used for commercial or fund-raising purposes” (emphasis added; see Matter of Federation of N.Y. State Rifle & Pistol Clubs v New York City Police Dept., 73 NY2d 92 [1989] [organization’s request denied under FOIL for use in direct mail membership solicitation of names and addresses of persons holding rifle or shotgun permits]). That particular exemption does not apply in this case however because Data Tree is not seeking a list of names and addresses to solicit any business. Rather, Data Tree is seeking public land records for commercial reproduction on line.
We conclude that a question of fact exists in this case as to whether the privacy exemption applies to the records because some of the documents requested may contain private information, such as Social Security numbers and dates of birth (see Matter of Seelig v Sielaff, 201 AD2d 298 [1st Dept 1994] [release
III
As another basis for its denial of disclosure, the Clerk contends that Data Tree’s FOIL request requires the creation of a new record. An agency is not required to create records in order to comply with a FOIL request, as Public Officers Law § 89 (3) (a) provides: “Nothing in this article shall be construed to require any entity to prepare any record not possessed or maintained by such entity.” Thus, an agency has no obligation to accommodate a request to compile data in a preferable commercial electronic format when the agency does not maintain the records in such a manner.
Nonetheless, FOIL does not differentiate between records stored in paper form or those stored in electronic format. As stated earlier, the term “record” means, among other things, “computer tapes or discs.” Disclosure of records is not always necessarily made by the printing out of information on paper, but may require duplicating data to another storage medium, such as a compact disc.[1] Thus, if the records are maintained electronically by an agency and are retrievable with reasonable effort, that agency is required to disclose the information. In
* Indeed, the Legislature contemplated disclosure by electronic means when Public Officers Law § 89 (3) was amended by adding a new paragraph (b) to read: “All entities shall, provided such entity has reasonable means available, accept requests for records submitted in the form of electronic mail and shall respond to such requests by electronic mail, using forms, to the extent practicable, consistent with the form or forms developed by the committee on open government pursuant to subdivision one of this section and provided that the written requests do not seek a response in some other form.”
This does not mean, however, that an agency must accord a commercial entity any more or less access to records than any other citizen. Section 89 (3) of the Public Officers Law requires that upon receipt of a request, an agency has five business days in which it must either grant access to the records, deny access or furnish a written acknowledgment of the receipt of such request. When such acknowledgment is given, it must include a statement of the approximate date when the request will be granted or denied. Further, Public Officers Law § 87 provides that the agency may establish procedures including the time and place when such records will be made available, the persons from whom such records may be obtained and the fees for copies of records. Thus, there is no specific time period in which the agency must grant access to the records. Indeed, the time needed to comply with the request may be dependent on a number of factors, including the volume of the request and the retrieval methods. Therefore, complying with a commercial entity’s request for an enormous number of records may require substantial time and expense by the Clerk’s Office and may not, absent an agreement providing otherwise, require the Clerk to provide such records in a time other than that which is reasonable in view of the attendant circumstances.
Here, the Clerk argues that he does not maintain the information in the electronic form requested by Data Tree. The Clerk submitted the affidavit of the Director of Optical Imaging for the Suffolk County Clerk’s Office who avers that the Clerk’s Office would need to have a separate computer program written that would permit the information to be readable on a compact disc or other electronic means. He further states that under the current computer system he is unable to redact all of the private information prior to reproduction. In response, Data Tree proffered the affidavit of its senior software engineer, who claims, by giving examples, that the Clerk could comply with the FOIL request without any computer programming. Further, Data Tree
Further, privacy concerns may also exist with respect to the information contained in the electronic format requested by Data Tree. If such information cannot be reasonably redacted from the electronic records, then such records may not be subject to disclosure under FOIL. We therefore remit the matter to Supreme Court to consider these issues in determining whether the Clerk must comply by providing the records in an electronic format requested by Data Tree.
Accordingly, the order of the Appellate Division, insofar as appealed from, should be reversed, without costs, and the matter remitted to Supreme Court for further proceedings in accordance with this opinion.
Chief Judge Kaye and Judges Ciparick, Graffeo, Read, Smith and Jones concur.
Order, insofar as appealed from, reversed, etc.
Cases cited
- Buffalo News, Inc. v. Buffalo Enterprise Development Corp. 84 NY2d 488 p. 456
- M. Farbman & Sons, Inc. v. New York City Health & Hospitals Corp. 62 NY2d 75 at 80 p. 456, p. 458, p. 459, p. 463
- Washington Post Co. v. New York State Insurance Department 61 NY2d 557 p. 456, p. 459
- Fink v. Lefkowitz 47 NY2d 567 at 571 p. 456, p. 458, p. 459, p. 463
- Newsday, Inc. v. Empire State Development Corp. 98 NY2d 359 p. 456, p. 457, p. 458, p. 459
- Church of Scientology v. State 46 NY2d 906 p. 456
- New York Times Co. v. Regenhard 4 NY3d 477 p. 456, p. 457, p. 458
- Westchester Rockland Newspapers, Inc. v. Kimball 50 NY2d 575 at 580 p. 456, p. 458, p. 459, p. 463
- Pennington v. McMahon 234 AD2d 624 p. 456
- Capital Newspapers Division of Hearst Corp. v. Burns 109 AD2d 92 p. 456
- Capital Newspapers Division of the Hearst Corp. v. Burns 67 NY2d 562 at 566 p. 456, p. 457, p. 458, p. 463
- People ex rel. German-American Loan & Trust Co. v. Richards 99 NY 620 p. 456
- New York Public Interest Research Group, Inc. v. Cohen 188 Misc 2d 658 p. 456, p. 459
- Brownstone Publishers, Inc. v. New York City Department of Finance 150 AD2d 185 p. 456
- Wamsley v. East Ramapo Central School District Board of Education 281 AD2d 633 p. 456
- Doolan v. Board of Cooperative Educational Services 48 NY2d 341 p. 456
- Hanig v. State of New York Department of Motor Vehicles 79 NY2d 106 at 109 p. 457, p. 458, p. 459, p. 462
- Person-Wolinsky Associates, Inc. v. Nyquist 84 Misc 2d 930 p. 457
- In re Nicholas 117 Misc 2d 630 p. 457
- Empire Realty Corp. v. New York State Division of Lottery 230 AD2d 270 p. 457
- Russo v. Nassau County Community College 81 NY2d 690 p. 457, p. 459
- Goodstein v. Shaw 119 Misc 2d 400 p. 457
- Department of the Air Force v. Rose 425 US 352 p. 457
- Brownstone Publishers, Inc. v. New York City Department of Buildings 146 Misc 2d 376 p. 457
- Wattenmaker v. New York State Employees' Retirement System 95 AD2d 910 p. 457
- Cromwell v. Ward 183 AD2d 459 p. 457
- Guerrier v. Hernandez-Cuebas 165 AD2d 218 p. 457, p. 459
- O'Shaughnessy v. New York State Division of State Police 202 AD2d 508 p. 457
- Gabriels v. Curiale 216 AD2d 850 p. 457
- Rattley v. New York City Police Department 96 NY2d 873 p. 457
- Beechwood Restorative Care Center v. Signor 5 NY3d 435 p. 457
- Weston v. Sloan 84 NY2d 462 p. 457
- Stoll v. New York State College of Veterinary Medicine at Cornell University 94 NY2d 162 p. 457
- Alderson v. New York State College of Agriculture 4 NY3d 225 p. 457
- Citizens for Alternatives to Animal Labs, Inc. v. Board of Trustees 92 NY2d 357 p. 457
- Daily News Publishing Co. v. Office of Court Administration 186 Misc 2d 424 p. 457
- Pell v. Board of Education 34 NY2d 222 p. 457
- 4M Holding Co. v. Town Board 81 NY2d 1053 p. 457
- Norton v. Town of Islip 17 AD3d 468 p. 457
- Miller v. Village of Wappingers Falls 289 AD2d 209 p. 457
- DelGaudio v. Aetna Insurance 262 AD2d 641 p. 457
- In re the Estate of Sbuttoni 16 AD3d 693 p. 457
- Nodine v. Board of Trustees 44 AD2d 764 p. 458
- Ames v. Johnston 169 AD2d 84 p. 458
- 22 Park Place Cooperative, Inc. v. Board of Assessors 102 AD2d 893 p. 458
- Royal Business School, Inc. v. New York State Department of Education 141 AD2d 170 p. 458
- McCabe v. County of Dutchess 143 AD2d 670 p. 458
- Capital Newspapers v. Whalen 69 NY2d 246 at 252 p. 458, p. 462
- Konigsberg v. Coughlin 68 NY2d 245 p. 458
- United States Department of State v. Ray 502 US 164 p. 459
- John Doe Agency v. John Doe Corp. 493 US 146 p. 459
- United States Department of Justice v. Tax Analysts 492 US 136 p. 459
- Babigian v. Evans 104 Misc 2d 140 p. 459
- Gould v. New York City Police Department 89 NY2d 267 p. 459
- Kryston v. Board of Education 77 AD2d 896 p. 459
- Federation of New York State Rifle & Pistol Clubs, Inc. v. New York City Police Department 73 NY2d 92 p. 459, p. 463
- Thomas v. City of New York Department of Housing Preservation & Development 12 Misc 3d 547 p. 459
- Szikszay v. Buelow 107 Misc 2d 886 p. 459
- Kwitny v. McGuire 102 Misc 2d 124 p. 459
- Kwitny v. McGuire 77 AD2d 839 p. 459
- Kwitny v. McGuire 53 NY2d 968 p. 459
- Daily Gazette Co. v. City of Schenectady 93 NY2d 145 at 156 p. 463