Thomas P. DiNapoli OFFICE OF THE COMPTROLLER STATE COMPTROLLER

DIVISION OF STATE GOVERNMENT ACCOUNTABILITY

Audit Objective...... 2

Audit Results - Summary...... 2 PORT OF OSWEGO

Background...... 3 AUTHORITY

Audit Findings and Recommendations...... 3

Internal Policies and Procedures...... 3 Compliance with FOIL-Specified COMPLIANCE WITH Time Frames...... 3 Recommendations...... 4 FREEDOM OF

Audit Scope and Methodology...... 4 INFORMATION LAW

Authority...... 5 REQUIREMENTS

Reporting Requirements...... 5

Contributors to the Report ...... 5

Exhibit A ...... 6 Report 2007-S-46

Appendix A - Auditee Response....7

AUDIT OBJECTIVE followed up with the POA to determine the status of this FOIL request. We found POA Our objective was to determine whether the responded within FOIL-specified time frames Port of Oswego Authority’s (POA) efforts to for this request. manage and monitor Freedom of Information Law (FOIL) requests result in the timely Our audit did identify some opportunities for release of information consistent with FOIL POA to improve its FOIL practices and requirements. procedures. Authority officials agreed with our two recommendations and are taking AUDIT RESULTS - SUMMARY steps to implement them.

When POA receives a written request for This report, dated August 9, 2007, is available records from the public under FOIL, it has on our website at http://www.osc.state.ny.us. five business days to grant or deny access, or Add or update your mailing list address by if more time is needed, to acknowledge the contacting us at: (518) 474-3271 or receipt of the request in writing. POA only Office of the State Comptroller received one FOIL request between January Division of State Government Accountability 1, 2005 and September 20, 2006, our audit 110 State Street, 11th Floor period. We found POA appropriately Albany, NY 12236 acknowledged this request the following day.

FOIL also specifies the acknowledgment letter must indicate an approximate date, within 20 days of the letter, when a determination will be made. At the time of our audit, the promised date for the one FOIL request POA received had not yet been reached. Subsequent to our site visit we

Report 2007-S-46 Page 2 of 7

BACKGROUND AUDIT FINDINGS AND RECOMMENDATIONS POA regulates the development and operation of port facilities in the Oswego Port District Internal Policies and Procedures which includes the City of Oswego, the town of Scriba, and all waters of the Oswego River Under FOIL, agencies are required to make and those within the boundaries of Lake all eligible records available for public Ontario. The Authority is governed by a inspection or copying and promulgate rules nine-member Board of Directors. and regulations including: the times and places such records are available; the persons Article 6 of the New York State Public from whom such records may be obtained; Officers Law provides for public access to and the fees for copies of records, which government records. The statute, generally generally may not exceed 25 cents per page. referred to as the Freedom of Information Law (FOIL), applies to any State agency, We found POA has developed internal public authority and local government entity, policies and procedures that are stricter than with the exception of the Judiciary and the FOIL in that they indicate POA will provide a State Legislature. Under FOIL, each agency, response to an appeal within seven days, including public authorities, is required to rather than the ten days allowed by statute. make all eligible records available for public We also found POA’s policy is to charge inspection or copying. Such records include, $1.00 per page for copies of requested but are not limited to, reports, statements, information, rather than the maximum 25 opinions, folders, files, microfilms, and cents per page that FOIL allows. When we computer tapes or discs. brought the fee issue to their attention, POA officials indicated the policy would be POA received one FOIL request between adjusted to reflect the maximum allowable January 1, 2005 and September 20, 2006. amount prescribed by FOIL. FOIL specifies time frames for the processing of FOIL requests by agencies when granting FOIL also requires agencies maintain a or denying access to requested records. reasonably detailed current subject matter list. However, agencies may develop their own This list is to be provided to the public upon more stringent internal policies and request. POA was unable to provide us with a procedures for the processing of FOIL subject matter list. requests. If a denied request is appealed, the agency must send copies of the appeal and Compliance with FOIL-Specified subsequent determination to the New York Time Frames State Committee on Open Government (COOG). Among other things, COOG issues advisory opinions and makes FOIL specifies time frames for the processing recommendations to the Legislature on of requests received by agencies. Compliance matters relating to FOIL. Each agency is also is important because delays in responding to required to maintain a reasonably detailed FOIL requests equate to a denial of the current list by subject matter (subject matter request and could result in unnecessary appeal list) of all agency records, whether or not they proceedings for the agency. are available under FOIL.

Report 2007-S-46 Page 3 of 7

When POA receives a written request for AUDIT SCOPE AND METHODOLOGY records from the public under FOIL, it has five business days to grant or deny access, or We conducted our performance audit in if more time is needed, to acknowledge the conformance with generally accepted receipt of the request in writing. POA only government auditing standards. We audited received one FOIL request during our audit the efforts by 22 selected public authorities to period, which we reviewed for compliance manage and monitor FOIL requests. This with this requirement. We found it only took report includes details of our audit of one of POA one business day to acknowledge the these 22 authorities, POA, and covers the request. period January 1, 2005 through September 20, 2006. A complete listing of all 22 reports is FOIL also specifies the acknowledgment included in Exhibit A. letter must indicate an estimated date, within 20 business days of the letter, when a decision To accomplish our objective, we reviewed granting or denying access to the requested POA’s internal policies and procedures records will be provided. At the time of our pertinent to FOIL to determine compliance audit, the promised date for the one FOIL with the law. In addition, we met with POA request POA received had not yet been officials to confirm and enhance our reached. understanding of the authority’s FOIL request process. We also reviewed the one FOIL Subsequent to our field visit, we followed up request POA reported receiving during our with POA officials to ascertain the final audit period, reviewed the steps POA took to disposition of this FOIL request. We process the request, and evaluated the determined that POA appropriately timeliness. corresponded with the requestor on a timely basis to clarify the nature of the records being In addition to being the State Auditor, the requested. Once the clarification was Comptroller performs certain other received, POA provided the requested records constitutionally and statutorily mandated within the 20 business days allowed by the duties as the chief fiscal officer of New York law. State. These include operating the State’s accounting system; preparing the State’s Recommendations financial statements; and approving State contracts, refunds, and other payments. In 1. Revise the current policies and procedures addition, the Comptroller appoints members to reflect the maximum allowable fee to certain boards, commissions and public prescribed by FOIL for copies of records. authorities, some of whom have minority voting rights. These duties may be 2. Develop and maintain a current list by considered management functions for subject matter of all records in the purposes of evaluating organizational possession of POA to be distributed to the independence under generally accepted public upon request. government auditing standards. In our opinion, these functions do not affect our ability to conduct independent audits of program performance.

Report 2007-S-46 Page 4 of 7

AUTHORITY Executive Law, the Chair of the Port of The audit was performed pursuant to the State Oswego Authority shall report to the Comptroller’s authority as set forth in Article Governor, the State Comptroller, and the X, Section 5 of the State Constitution and leaders of the Legislature and fiscal Section 2803 of the Public Authorities Law. committees, advising what steps were taken to implement the recommendations contained REPORTING REQUIREMENTS herein, and where the recommendations were not implemented, the reasons therefor. Draft copies of this report were provided to POA officials for their review and comments. CONTRIBUTORS TO THE REPORT Their comments were considered in preparing this report, and are included as Appendix A. Major contributors to this report include Frank Houston, John Buyce, Christine Rush, Within 90 days of the final release of this Lisa Rooney, Rick Podagrosi, Kelly Engel, report, as required by Section 170 of the and Paul Bachman.

Report 2007-S-46 Page 5 of 7

EXHIBIT A

Reports on Public Authority Compliance with FOIL Requirements

Report Number Public Authority 2006-S-107 Authority 2006-S-108 Long Island Power Authority 2006-S-109 MTA/New York City Transit 2006-S-110 Empire State Development Corporation 2007-S-33 Authority 2007-S-34 New York State Bridge Authority 2007-S-35 Central New York Regional Transportation Authority 2007-S-36 Convention Center Operating Corporation, NYC 2007-S-37 Development Authority of the North Country 2007-S-38 Dormitory Authority of the State of New York 2007-S-39 Environmental Facilities Corporation 2007-S-40 Housing Finance Agency 2007-S-41 Hudson River/Black River Regulating District 2007-S-42 2007-S-43 Niagara Frontier Transportation Authority 2007-S-44 Ogdensburg Bridge and Port Authority 2007-S-45 Olympic Regional Development Authority 2007-S-46 Port of Oswego Authority 2007-S-47 Rochester-Genesee Regional Transportation Authority 2007-S-48 Roosevelt Island Operating Corporation 2007-S-49 Thousand Islands Bridge Authority 2007-S-50 MTA/Bridges and Tunnels

Report 2007-S-46 Page 6 of 7

APPENDIX A - AUDITEE RESPONSE

Report 2007-S-46 Page 7 of 7