New York State Seal
STATE OF NEW YORK
INSURANCE DEPARTMENT
25 BEAVER STREET
NEW YORK, NEW YORK 10004

The Office of General Counsel issued the following informal opinion on January 25, 2002, representing the position of the New York State Insurance Department.

RE: Insurance Compliance Self-Evaluative Privilege

Question Presented:

Does the New York State have a law that is equivalent to Illinois law 215 ILCS 5/155.35 (West 2000), Insurance Compliance Self-Evaluative Privilege?

Conclusions:

There is no New York insurance law that mirrors the Illinois Insurance Compliance Self-Evaluative Privilege, 215 ILCS 5/155.35 (West 2000); however, a bill with substantially similar provisions has been introduced in the New York State Legislature.

Facts:

No facts were presented.

Analysis:

The Illinois law of Insurance Compliance Self-Evaluative Privilege, 215 ILCS 5/155.35 (West 2000) "encourages" insurance companies, and persons conducting activities regulated under the Illinois Insurance Code, both to conduct voluntary internal audits of their compliance programs and management systems, and to assess and improve compliance with State and federal statutes, rules, and orders. "An insurance compliance self-evaluative audit document is privileged information and is not admissible as evidence in any legal action . . . ." 215 ILCS 5/155.35 (b)(1) (West 2000) with certain exceptions.

Currently, there is no New York insurance law that mirrors the Illinois Insurance Compliance Self-Evaluative Privilege, 215 ILCS 5/155.35 (West 2000); however, Senate Bill 2403 which has similar provisions to the Illinois law, has been introduced in the New York State Legislature.

For further information you may contact Senior Attorney Susan A. Dess at the New York City Office.