New York State Joint Commission on Public Ethics Investigation Files

Unarranged.

This series documents cases in which investigations lead to enforcement actions. These records include complaints, testimony, interviews, transcripts, correspondence, notes, subpoenas, evidence, memos, reports, 15-day letters, settlement agreements, decisions, and enforcement hearings, and the Substantial Basis Investigation Report in an investigation on violations of the Lobbying Act, Sections 73, 73-a, and 74 of the Public Officers Law and Section 107 of the Civil Service Law.

Topics include the misuse of state resources by State Police and Governor David A. Paterson's acquisition of World Series tickets. Types of violations leading to investigations include engaging in any outside activity which interferes with execution of official duties or responsibilities, from engaging in any private employment or other outside activity from which more than nominal compensation is derived, or from serving as a director or officer of a for-profit corporation or institution; failures to report honoraria and travel reimbursement received from outside parties; violating state prohibitions against former employees taking post-state employment in which they appear or practice before their former agency or receive compensation for rendering services on a matter before their former agency; and other violations of state ethics requirements, such as failure to properly disclose required information on a financial disclosure statement, engaging in nepotism, and other ethical lapses.

This series was transferred under RDA 22799.

Records are partially restricted. Only records specifically enumerated in Executive Law Section 94.19 or required to be disclosed under Legislative Law Article 1-A (Lobbying Act) are available to the public.