January 13, 1994
Ms. Krista Bradford
          405 East 63rd Street, 10J
          New York, NY 10021
The staff of the Committee on Open Government is authorized to
          issue advisory opinions. The ensuing staff advisory opinion is
          based solely upon the facts presented in your correspondence.
Dear Ms. Bradford:
 I have received your letter of December 26 and related
          materials. You have sought an advisory opinion concerning a
          request for records of the Department of Motor Vehicles.
 In a letter of November 3 citing the Freedom of Information
          Law, you wrote as follows:
 "I hereby request a data copy of the following
  Department of Motor Vehicles computer files: 
  'Registration Records', 'VIN (vehicle
  identification number) Records' and 'License
  Records' including Accident Records,
  Conviction Records, Scofflaw Records,
  Compliance Records and Other Sanctions. In
  addition, I am requesting the field layouts of
  the files and the Data Dictionary. Also, upon
  request, I would like to receive copies of
  these DMV computer files on an annual basis in
  the ensuing years starting upon completion of
  year in which the database copy is received."
In addition, you sought the data in a particular format and
          specified that you were "not requesting that individual files
          be
          located or that any of these files be searched"; rather, you wrote
          that you were "requesting a copy of the entire 'database'" and
          contended that provisions of §202 of the Vehicle and Traffic Law
          (VTL) pertaining to search fees do not apply.
 The Department, however, denied the request on the ground that
        "access is controlled by VTL Section 202" and because disclosure
          would constitute an unwarranted invasion of personal privacy under
        §87(2)(b) of the Freedom of Information Law.
 Your request involves several components and a variety of
          issues. I will attempt to address them in the following
          commentary.
 First, as you are aware, the Freedom of Information Law
          pertains to existing records, §89(3) of the Law states in part
          that
          an agency need not create a record in response to a request. It is
          also noted that §86(4) of that statute defines the term "record"
          expansively to include:
 "any information kept, held, filed, produced,
  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."
Based upon the language quoted above, if information is maintained
          in some physical form, it would in my opinion constitute a "record"
          subject to the Law. Further, the definition of "record" includes
          specific reference to computer tapes and discs, and it was held
          more than ten years ago that "[i]nformation is increasingly being
          stored in computers and access to such data should not be
          restricted merely because it is not in printed form" [Babigian
          v.
          Evans, 427 NYS 2d 688, 691 (1980); aff'd 97 AD 2d 992 (1983); see
          also, Szikszay v. Buelow, 436 NYS 2d 558 (1981)]. 
 When information is maintained electronically it has been
          advised that if the information sought is available by law and may
          be retrieved by means of existing computer programs, an agency is
          required to disclose the information. In that kind of situation,
          the agency in my view would merely be retrieving data that it has
          the capacity to retrieve. Disclosure may be accomplished either by
          printing out the data on paper or perhaps by duplicating the data
          on another storage mechanism, such as a computer tape or disk. On
          the other hand, if information sought can be retrieved from a
          computer or other storage medium only by means of new programming
          or the alteration of existing programs, those steps would, in my
          opinion, be the equivalent of creating a new record. As indicated
          earlier, since §89(3) states that an agency is not required to
          create a record, it has been held that an agency is not required to
          reprogram or develop new programs to extract information that would
          otherwise be available [see Guerrier v. Hernandez-Cuebas, 165 AD 2d
          218 (1991)].
 In Guerrier, the agency maintained the requested data in its
          computerized records. However, the agency did not have a computer
          program that could have been used to compile the information
          sought, and it was held that "FOIL does not require respondent
          to
          do so for the purpose of complying with petitioner's request" (id.,
          220). I believe that several of the categories of the information
          sought, i.e., accident, conviction, scofflaw and compliance
          records, can currently be retrieved only through the use of and in
          combination with an identifier, such as a name or identification
          number. If that is so, the Department would have no way of
          extracting those kinds of data without engaging in significant
          programming. In that event, the Freedom of Information Law would
          not in my view require the Department to engage in programming, and
          it appears that some aspects of your request could properly be
          rejected on that basis.
 Second, it is emphasized and recognized that the duties of
          this office involve providing advice regarding the Freedom of
          Information Law, not the VTL. However, in order to provide
          appropriate guidance concerning the applicability of the Freedom of
          Information Law, I believe that the VTL, under the circumstances,
          must also be considered. In this regard, the Freedom of
          Information Law pertains to the disclosure of government records
          generally. When a statute other than the Freedom of Information
          Law deals with records particularly, under the rules of statutory
          construction, the specific statute would prevail over the general. 
          With regard to at least one aspect of your request, I believe that
          the VTL would prevail over the Freedom of Information Law.
 In the case of registration lists, §202(4)(a) of the VTL
          states in relevant part that:
 "The commissioner may, in his discretion,
  contract with the highest responsible bidder
  to furnish the registration information
  specified in this section from the records of
  all vehicle registrations from any
  registration period, or number of periods not
  exceeding five years in the aggregate, with
  respect to a given territory."
From my perspective, §202(4)(a) represents the exclusive statutory
          method of seeking to acquire a vehicle registration list, and under
          that provision, such a list must be disclosed only to "the highest
          responsible bidder."
 Third, with respect to other kinds of lists, i.e., lists of
          licensed drivers, that are maintained electronically and which
          could be reproduced, the questions in my view are whether a request
          for the lists would involve a "search", and, therefore, whether
          the
          VTL or the Freedom of Information Law would be the governing
          statute.
Section 202(2) of the VTL states in relevant part that:
 "(b) The fee for a search which is made by
  direct entry by a requester who has been
  approved for such entry by the commissioner
  shall be four dollars.
 (c) The fee for a search which is made by
  means of an electronic medium which has been
  prepared by a requester who has been approved
  for such service by the commissioner and which
  is processed by the department shall be four
  dollars.
 (d) The commissioner may condition approval
  for direct entry of a request or use of an
  electronic medium by a requester upon the
  establishment and maintenance of an account
  with the department with a minimum balance
  established by the commissioner from which
  fees chargeable to the request shall be
  deducted. In addition, the commissioner shall
  prescribe the specifications and procedures
  for use of electronic media and may establish
  a minimum and/or maximum number of searches
  which may be contained on any one such
  electronic medium submission.
 (e) For purposes of this section, a search
  shall consist of a single entry of an
  acceptable identifier for the purpose of
  obtaining a specific category of information
  relating to a person, vehicle or number plate. 
  The commissioner shall by regulation define
  such categories and identifiers acceptable for
  such categories. Except as provided in
  subdivision three of this section, a search of
  the record of the department shall include the
  furnishing of the information disclosed by
  such search, and with respect to searches made
  manually be the department, shall include a
  certification of such record."
As I understand the situation, your request does not involve "a
          search which is made by direct entry by a requester who has been
          approved for such entry." Further, by requesting a "list" or
          perhaps a database in its entirety, you have not apparently
          requested a search consisting of a "single entry of an acceptable
          identifier for the purpose of obtaining a specific category of
          information relating to a person, vehicle or number plate." If
          the
          foregoing is accurate, your request for lists or databases would
          not involve a "search", and if that is so, §202 of the
          VTL would
          not likely be applicable. In short, it does not appear that the
          drafters of §202 envisioned the kind of request that you have
          made.
 If the Freedom of Information Law applies, I believe that data 
          equivalent to that which would be accessible via "searches" would
          be available to you in the form of a list or database maintained
          electronically by the Department. Although that statute authorizes
          an agency to withhold records when disclosure would constitute "an
          unwarranted invasion of personal privacy", if the records sought
          contain the same kind of personal information that would be
          available by means of individual searches, I do not believe that
          disclosure of that data in the aggregate would, in this instance,
          result in an unwarranted invasion of personal privacy.
 Ordinarily, when records are accessible under the Freedom of
          Information Law, it has been held that they should be made equally
          available to any person, regardless of one's status, interest or
          the intended use of the records [see Burke v. Yudelson, 368 NYS 2d
          779, aff'd 51 AD 2d 673, 378 NYS 2d 165 (1976)]. The Court of
          Appeals, the State's highest court, has held that:
 "FOIL does not require that the party
  requesting records make any showing of need,
  good faith or legitimate purpose; while its
  purpose may be to shed light on government
  decision-making, its ambit is not confined to
  records actually used in the decision-making
  process. (Matter of Westchester Rockland
  Newspapers v. Kimball, 50 NY2d 575, 581.) 
  Full disclosure by public agencies is, under
  FOIL, a public right and in the public
  interest, irrespective of the status or need
  of the person making the request" [Farbman v.
  New York City Health and Hospitals
  Corporation, 62 NY 2d 75, 80 (1984)].
 The only exception to the principles described above involves
          the protection of personal privacy. Section 89(2)(b) of the Law
          provides a series of examples of unwarranted invasions of personal
          privacy, one of which pertains to:
 "sale or release of lists of names and
  addresses if such lists would be used for
  commercial or fund-raising purposes"
  [§89(2)(b)(iii)].
The provision quoted above represents what might be viewed as an
          internal conflict in the law. As indicated earlier, the status of
          an applicant or the purposes for which a request is made are
          irrelevant to rights of access, and an agency cannot routinely
          require an applicant to describe the intended use of records. 
          However, due to the language of §89(2)(b)(iii), rights of access
          to
          a list of names and addresses, or equivalent records, may be
          contingent upon the purpose for which a request is made [see Scott,
          Sardano & Pomeranz v. Records Access Officer of Syracuse, 65 NY
          2d
          294, 491 NYS 2d 289 (1985); Goodstein v. Shaw, 463 NYS 2d 162
          (1983)].
 In a case involving a list of names and addresses in which the
          agency inquired as to the purpose for which the list was requested,
          it was found that an agency could make such an inquiry. 
          Specifically, in Golbert v. Suffolk County Department of Consumer
          Affairs (Supreme Court, Suffolk County, September 5, 1980), the
          Court cited and apparently relied upon an opinion rendered by this
          office in which it was advised that an agency may appropriately
          require that an applicant for a list of names and addresses provide
          an indication of the purpose for which a list is sought.
 In the context of your request, you specified that the records
          sought "will not be used or sold commercially", but "will
          be used
          exclusively for the purpose of journalism." Based upon your
          assertion and the preceding analysis, insofar as the Freedom of
          Information Law applies, it is unlikely in my view that disclosure
          would constitute an unwarranted invasion of personal privacy.
 You also requested the "field layouts of the files and the
          Data Dictionary". If that information was prepared by the
          Department, I believe that it would consist of intra-agency
          material that falls within the scope of §87(2)(g) of the Freedom
          of
          Information Law. Although that provision may serve potentially as
          a basis for denial, due to its structure, it often requires
          disclosure. Section 87(2)(g) states that an agency may withhold
          records that:
 "are inter-agency or intra-agency materials
  which are not:
 i. statistical or factual tabulations or
  data;
 ii. instructions to staff that affect the
  public;
 iii. final agency policy or determinations;
  or
 iv. external audits, including but not
  limited to audits performed by the comptroller
  and the federal government..."
It is noted that the language quoted above contains what in effect
          is a double negative. While inter-agency or intra-agency materials
          may be withheld, portions of such materials consisting of
          statistical or factual information, instructions to staff that
          affect the public, final agency policy or determinations or
          external audits must be made available, unless a different ground
          for denial could appropriately be asserted. Concurrently, 
          those portions of inter-agency or intra-agency materials that are
          reflective of opinion, advice, recommendation and the like could in
          my view be withheld. If I accurately understand the nature of the
          records in question, they would consist of factual data available
          under §87(2)(g)(i).
 I point out that §87(2)(i) enables an agency to withhold
        "computer access codes". While that provision does not appear
        to
          be relevant here, I believe that it could be asserted to the extent
          that disclosure of such codes would permit unauthorized access to
          an agency's computers.
 Lastly, you asked to receive copies of the files "on an annual
          basis in the ensuing years." In my opinion, an agency is not
          required to agree to such a request, even if the records are
          unquestionably available under the Freedom of Information Law. 
          Technically, I do not believe that an agency can either grant or
          deny access to records that do not yet exist. Consequently, an
          ongoing prospective request or a request for records that may exist
          at some point in the future is in my view beyond the requirements
          of the Freedom of Information Law.
 You also referred to a portion of §202 of the VTL that
          pertains to the waiver of fees for searches or copies used "for
          a
          public purpose" by a "public officer, board or body." You
          suggested that the "fourth estate, comprised of journalists...could
          be viewed as a 'public body'". While I agree that journalists
          provide an essential service on behalf of the public, I believe
          that the waiver provision is intended to apply only to governmental
          officers and bodies.
I hope that I have been of some assistance.
Sincerely,
 Robert J. Freeman
  Executive Director
RJF:jm
cc: George Christian
 State of New York
State of New York