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2016 FOIL -- INDEPENDENT AUDITS

 

Senate & Assembly

1.
CJA's November 17, 2016 FOIL/Records Request --
"Subject: This Year's 'Independent Audit' of the 'Internal Controls'
of the Senate & Assembly Pursuant to Legislative Law Sec. 92"   
 
EFPR Group

             Senate's November 23, 2016 response

           Assembly's November 28, 2016 acknowledgment

           Assembly's November 30, 2016 response
ENCLOSURES:
Assembly's May 15, 2013 request for proposals
Toski June 6, 2013 proposal
                 Assembly June 27, 2013 contract with Toski
         

2.
CJA's November 22, 2016 FOIL/Records Request
--
"RE: The Legislature's compliance with Legislative Law §90: 'Internal control responsibilities'"

           Secretary of the Senate's November 30, 2016 response

           CJA's December 2, 2016 appeal to Senate FOIL Appeals Officer Beth Garvey

       Senate FOIL Appeals Officer Garvey's December 22, 2016 decision

        

3.
CJA's November 23, 2016 FOIL/Records Request
--
"RE:  Compliance with Legislative Law §91 'Internal audit responsibilities"

          Senate's December 1, 2016 response

          CJA's December 2, 2016 request for clarification

          Senate's December 5, 2016 clarification

          CJA's December 9, 2016 appeal to Senate FOIL Appeals Officer Beth Garvey

         

4.
CJA's November 23, 2016 FOIL/Records Request
--
"Subject: Senate-Assembly Contract(s) with EFPR Group, LLP for this Year's 'Independent Audit'
of the 'Internal Controls' of the Senate & Assembly"

        Senate's December 1, 2016 response

          Assembly's November 30, 2016 response 

        CJA's December 2, 2016 appeal to Senate FOIL Appeals Officer Beth Garvey

 

5.
CJA's March 7, 2017 e-mail to Assembly Records Access Officer --
"Follow-up to your Nov 30, 2016 response to CJA's Nov 17, 2016 and Nov 23, 2016 FOIL requests"

6.
CJA's March 7, 2017 FOIL/Records Request to Secretary of the Senate

CJA's March 7, 2017 FOIL/Records Request
--
"Contract for the 2016 'independent audit' of the Senate's 'internal controls'; the 2016 'independent audit; etc."


        CJA's March 7, 2017 follow-up to Senate --
"CORRECTION:  CJA's March 7, 2017 FOIL/RECORDS REQUEST:
Contract for the 2016 'inependent audit' of the Senate's 'internal controls'; the 2016 'independent audit'; etc."


7.
CJA's March 7, 2017 e-mail to Secretary of the Senate --
"Was there ANY response this Dec 2, 2016 APPEAL?  CJA's Nov, 2016 FOIL/RECORDS REQUEST -- Senate contract with EFPR Group, LLP for [the 2016] 'independent audit' of the 'internal controls' of the Senate"


8.

CJA's March 8, 2017 e-mail to Senate FOIL Appeals Officer Garvey
"HOUSEKEEPING:  CJA's 3 FOIL appeals -- Dec 2, 2016; Dec 2, 2016; and Dec 9, 2016"

9.
CJA's March 9, 2017 e-mail to Assembly Records Access Officer --
"Follow-up: HOUSEKEEPING:  CJA's 3 FOIL appeals -- Dec 2, 2016; Dec 2, 2016; and Dec 9, 2016"

Judiciary

CJA's November 28, 2016 FOIL request to OCA --
"RE: The Judiciary's 'Independent audits' pursuant to Judiciary Law
§249-c"

OCA's November 28, 2016 acknowledgment

CJA's February 22, 2017 status inquiry

OCA's February 22, 2017 reply

 

Attorney General & Comptroller

CJA's November 28, 2016 FOIL request to Attorney General & Comptroller --
"RE: The 'Independent audits' of the Comptroller and Attorney General
pursuant to Executive Law
§954"

Attorney General --

Attorney General's December 5, 2016 acknowledgment

Attorney General's December 29, 2016 response   --
"...the Office of the Attorney General has conducted a diligent search
and has located no records that respond to your request."

Comptroller --

Comptroller's December 5, 2016 acknowledgment

          Comptroller's January 4, 2017 extension letter

          Comptroller's January 12, 2017 response
                 

 Nawrocki Smith

Comptroller's rfp-2014
      Toski's 2014 proposal  & here
Toski audit for 2015
Toski audit for 2011
 Toski audit for 2007

 

 

*  *  *

New York State Governmental Accountability,
Audit & Internal Control Act

(as posted on Comptroller's website)

In 1987, the Legislature enacted a law entitled New York State Governmental  Accountability, Audit and Internal Control Act of 1987. This act highlighted the need for  agency management to promote good internal controls and accountability in government.  The Legislature, recognizing the importance of internal control, updated and made the  Act permanent effective January 1, 1999 in Chapter 510 of the Laws of 1999. 

The internal control responsibilities of the various branches of government are codified as follows: 
State Agencies in Article 45 of the Executive Law, 
State Legislature in Article 6 of  the Legislative Law, 
Judiciary in Article 7­D of the Judiciary Law, 
Public Authorities in Article 9 of the Public Authorities Law. 

The updated laws refined the concepts in the 1987 law to assure that the Act’s provisions were consistent 
with current  professional internal control standards and the practices of private and public organizations.
 

2014 FOIL -- Independent Audits

2016 FOIL -- Independent Audits

2019 FOIL -- Independent Audits

2020 FOIL -- Independent Audits

 

 

---
Legislative Law Article VI:
"Internal Control Responsibilities of the State Legislature"

Senate Rule XIV: "Guidelines for a System of Internal Controls"

 Assembly Rule VII: "Guidelines for a System of Internal Controls"

March 2016: NYS Comptroller "Standards for Internal Control in NYS Government"

 

Budget Policy and Reporting Manual" -- effective March 12, 2012

& here

Public Trust

Ethical Standards for State Agency Contractors

 

*  *  *

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