STATE OF NEW YORK

DEPARTMENT OF STATE
COMMITTEE ON OPEN GOVERNMENT
Committee Members One Commerce Plaza, 99 Washington Ave., Suite 650
Alban, !e" #or$ %&&'%
(oAnn M. )estito *el +5%,- ./.0&5%,
(obert 1. )u22 3a4 +5%,- ./.0%9&/
(obert 5. Megna """.6os.n.gov7coog
Cesar A. Perales
Peter ). 8rimm
M. 1ean 9ill
9a6le 9orrigan
Colleen :avanagh
)avi6 A. Schulz
3ran$lin 9. Stone
Ste;hen <. Waters
=4ecutive )irector
(obert 1. 3reeman
October ', &0%.
)avi6 9ar;er, =s>.
5a" O22ice o2 )avi6 9ar;er, PC
.,0 <roa6"a, Suite &%.
Saratoga S;rings, !# %&,660&&6/
*he sta22 o2 the Committee on O;en 8overnment is authorize6 to issue a6visor o;inions. *he
ensuing sta22 a6visor o;inion is base6 solel u;on the in2ormation ;resente6 in our
corres;on6ence.
)ear Mr. 9ar;er?
*his is in res;onse to our re>uest 2or an a6visor o;inion regar6ing a;;lication o2 the
3ree6om o2 @n2ormation 5a" to recor6s re>ueste6 2rom the !e" #or$ State Police. S;eci2icall,
ou >uestione6 "hether the State Police coul6 release Athe number o2 Bassault "ea;onsC "hich
have been registere6D un6er the SA3= Act.
@nitiall, "e note that ;rovisions o2 the SA3= Act o2 &0%', s;eci2icall Penal 5a"
E.00.00+5-, re>uires 6u;licate co;ies o2 all a;;lications 2or 2irearm licenses to be 2ile6 "ith the
State Police 2or inclusion in a state"i6e 6atabase. @t is our un6erstan6ing that a;;lications 2or the
registration o2 assault "ea;ons, a subset o2 "ea;ons generall $no"n as 2irearms, that "ere
registere6 ;rior to the 6ate o2 the enactment o2 the SA3= Act are re>uire6 to be ma6e 6irectl to
the State Police +E.00.00F%60aG-.
As a general matter, the 3ree6om o2 @n2ormation 5a" is base6 u;on a ;resum;tion o2
access. State6 6i22erentl, all recor6s o2 an agenc are available, e4ce;t to the e4tent that recor6s
or ;ortions thereo2 2all "ithin one or more groun6s 2or 6enial a;;earing in E,/+&-+a- through +l-
o2 the 5a". 9ere, the initial groun6 2or 6enial, E,/+&-+a-, is relevant. *hat ;rovision authorizes
an agenc to "ithhol6 recor6s that Aare s;eci2icall e4em;te6 2rom 6isclosure b state or 2e6eral
statute.D
October ', &0%.
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As ou note6, the SA3= Act ;rotects recor6s maintaine6 b the State Police in the
state"i6e 6atabase as 2ollo"s?
A(ecor6s assemble6 or collecte6 2or ;ur;oses o2 inclusion in the 6atabase shall
not be subHect to 6isclosure ;ursuant to article si4 o2 the ;ublic o22icers la"I.
(ecor6s assemble6 or collecte6 2or ;ur;oses o2 inclusion in the 6atabase
establishe6 b this section shall be release6 ;ursuant to a court or6er.D +E.00.0&-.
<oth the stateCs highest court, the Court o2 A;;eals, an6 2e6eral courts in construing
access statutes have 6etermine6 that the characterization o2 recor6s as Acon2i6entialD or
Ae4em;te6 2rom 6isclosure b statuteD must be base6 on statutor language that s;eci2icall
con2ers or re>uires con2i6entialit. As state6 b the Court o2 A;;eals?
AAlthough "e have never hel6 that a State statute must e4;ressl state it is
inten6e6 to establish a 3O@5 e4em;tion, "e have re>uire6 a sho"ing o2 clear
legislative intent to establish an6 ;reserve that con2i6entialit "hich one resisting
6isclosure claims as ;rotectionD +Ca;ital !e"s;a;ers v. <urns, 6/ !#&6 56&,
56/, 505 !#S&6 5/6 F%9,6G-.
@n li$e manner, in construing the e>uivalent e4ce;tion to rights o2 access in the 2e6eral 3ree6om
o2 @n2ormation Act, it has been 2oun6 that?
A=4em;tion ' e4clu6es 2rom its coverage onl matters that are?
specifically e4em;te6 2rom 6isclosure b statute +other than section 55&b o2
this title-, ;rovi6e6 that such statute +A- requires that the matters be
withhe! "r#m the $ubi% i& su%h a ma&&er as t# ea'e &# !is%reti#& #&
the issue( or +<- establishes ;articular criteria 2or "ithhol6ing or re2ers to
;articular t;es o2 matters to be "ithhel6.
A5 J.S.C. E 55&+b-+'- +%9,&- +em;hasis a66e6-. (ecor6s sought to be "ithhel6
un6er authorit o2 another statute thus esca;e the release re>uirements o2 3O@A i2
K an6 onl i2 K that statute meets the re>uirements o2 =4em;tion ', inclu6ing the
threshol6 re>uirement that it s;eci2icall e4em;t matters 2rom 6isclosure. *he
Su;reme Court has e>uate6 Bs;eci2icallC "ith Be4;licitl.C Baldridge v. Shapiro,
.55 J.S. '.5, '55, %0& S. Ct. %%0', %%09, /% 5.=6.&6 %99 +%9,&-. BFOGnl explicit
non06isclosure statutes that evi6ence a congressional 6etermination that certain
materials ought to be $e;t in con2i6ence "ill be su22icient to >uali2 un6er the
e4em;tion.C Irons & Sears v. Dann, 606 3.&6 %&%5, %&&0 +).C.Cir.%9/9-
+em;hasis a66e6-. @n other "or6s, a statute that is claime6 to >uali2 as an
=4em;tion ' "ithhol6ing statute must, on its 2ace, e4em;t matters 2rom
6isclosureD+(e;orters Committee 2or 3ree6om o2 the Press v. J.S. )e;artment o2
1ustice, ,%6 3.&6 /'0, /'5 F%9,/GL mo6i2ie6 on other groun6s, ,'% 3.&6 %%,.
F%9,/GL reverse6 on other groun6s, .,9 J.S. /,9 F%9,9GL see also <ritish Air;orts
Authorit v. C.A.<., ).C.).C.%9,&, 5'% 3.Su;;. .0,L @nglesias v. Central
October ', &0%.
Page '
@ntelligence Agenc, ).C.).C.%9,%, 5&5 3.Su;;. 5./L 9unt v. Commo6it
3utures *ra6ing Commission, ).C.).C.%9/9, .,. 3.Su;;. ./L 3lori6a Me6ical
AssCn, @nc. v. )e;artment o2 9ealth, =6. M Wel2are, ).C. 3la.%9/9, ./9 3.Su;;.
%&9%-.
@n short, to be Ae4em;te6 2rom 6isclosure b statuteD, both state an6 2e6eral courts have
6etermine6 that a statute must be clear.
@n our o;inion, E.00.0& ma$es a;;lication recor6s assemble6 or collecte6 an6 maintaine6
b the State Police con2i6ential. *here is no e4ce;tion in6icate6, ho"ever, 2or 6ata 6erive6 2rom
those recor6s. S;eci2icall, there is no in6ication that aggregate 6ata or that "hich can be 6erive6
2rom the collecte6 recor6s is ;rotecte6.
@n tan6em "ith the ;rovisions to ;rotect a;;lication recor6s collecte6 b the State Police,
the SA3= Act sets 2orth groun6s on "hich an a;;licant ma rel to ;rotect his7her i6entit, as
2ollo"s?
A+i- the a;;licantNs li2e or sa2et ma be en6angere6 b 6isclosure because?
+A- the a;;licant is an active or retire6 ;olice o22icer, ;eace o22icer,
;robation o22icer, ;arole o22icer, or corrections o22icerL
+<- the a;;licant is a ;rotecte6 ;erson un6er a currentl vali6 or6er o2
;rotectionL
+C- the a;;licant is or "as a "itness in a criminal ;rocee6ing involving a
criminal chargeL
+)- the a;;licant is ;artici;ating or ;reviousl ;artici;ate6 as a Huror in a
criminal ;rocee6ing, or is or "as a member o2 a gran6 HurL or
+=- the a;;licant is a s;ouse, 6omestic ;artner or househol6 member o2 a
;erson i6enti2ie6 in this sub;aragra;h or sub;aragra;h +ii- o2 this
;aragra;h, s;eci2ing "hich sub;aragra;h or sub;aragra;hs an6 clauses
a;;l.
+ii- the a;;licant has reason to believe his or her li2e or sa2et ma be en6angere6
b 6isclosure 6ue to reasons state6 b the a;;licant.
+iii- the a;;licant has reason to believe he or she ma be subHect to un"arrante6
harassment u;on 6isclosure o2 such in2ormation.D +E.00.00F5GFbG.-
@n sum, ;rotection o2 the i6entit o2 an a;;licant 2or a 2irearm ;ermit is base6 on "hether
6isclosure ma en6anger the a;;licant, "hether the a;;licant has reason to believe that
6isclosure ma cause en6angerment, or "hether the a;;licant has reason to believe s7he ma be
subHect to un"arrante6 harassment.
<ase6 on events imme6iatel ;rior to enactment o2 the SA3= Act, inclu6ing the online
;ublication o2 names an6 a66resses o2 2irearm ;ermit hol6ers an6 interactive ma;s sho"ing the
geogra;hic locations o2 their homes, "e believe these ;rovisions "ere ;rimaril a6o;te6 in or6er
to ;rotect the sa2et o2 those "ho a;;l 2or an6 receive 2irearm licenses, inclu6ing those 2or
assault "ea;ons.
October ', &0%.
Page .
Accor6ingl, 6ue to the lac$ o2 re2erence in the statute, the statuteCs ;ur;ose o2 ;rotecting
a;;licants 2rom harm, an6 legal ;rece6ent 2rom the highest court re>uiring s;eci2ic statutor
authorit, it is our o;inion that 6isclosure o2 aggregate 6ata or that "hich can be 6erive6 2rom the
collecte6 recor6s an6 re;orte6 "ithout i6enti2ication o2 in6ivi6ual licensees is subHect to
6isclosure ;ursuant to the 3ree6om o2 @n2ormation 5a".
@n our o;inion, none o2 the 6iscretionar e4ce;tions a;;earing in E,/+&- o2 the 3ree6om
o2 @n2ormation 5a" "oul6 ;ermit the State Police to 6en access to aggregate 6ata regar6ing
2irearm an6 assault "ea;on ;ermits re;orte6 "ithout i6enti2ication o2 in6ivi6ual a;;licants. On
the contrar, "e believe that 6ata o2 that nature must be 6isclose6 ;ursuant to E,/+&-+g-+i-, "hich
s;eci2ies that Astatistical or 2actual tabulations or 6ataD containe6 "ithin internal agenc recor6s
be 6isclose6. Accor6ingl, it is our o;inion that such non0i6enti2ing 6ata is re>uire6 to be
6isclose6 u;on re>uest.
Sincerel,
Camille S. 1obin0)avis
Assistant )irector
c? (ecor6s Access O22icer, !e" #or$ State Police