The County of Lewis Industrial Development Agency (“LCIDA” or “Agency”), in compliance with the Public Authorities Accountability Act of 2005, and to protect the reputation and integrity of the Agency, its employees and directors, and to assure uniform standards of ethical conduct, has adopted the following Code of Ethics applicable to each Agency board member and employee: This is intended to govern the actions and working relationships of LCIDA employees and directors with clients, fellow employees, competitors, suppliers, government representatives, communications media, and all others who identify the employees and directors as members of the LCIDA, or as representatives of the interest of LCIDA. In these relationships, employees and directors must observe the highest standards of ethical conduct. The success of LCIDA as a provider of services is built upon trust and confidential relationships. LCIDA employees and directors should maintain no position or interest, financial or otherwise, which:
Employees and directors must resolve any doubts as to the meaning of the Code in favor of good, ethical judgment and to avoid even the appearance of impropriety. The following principles are guides for the conduct of all employees and directors (for the purposes of the Code, the term "immediate families" means the employee's spouse and the employee’s dependents):
No Board Member or employee of
the Agency shall:
§ Use or attempt to use his/her official position with the Agency to secure unwarranted privileges for himself/herself, members of his/her family or others, including employment with the Agency or with an entity that does business with the Agency or contracts for materials or services within the Agency. § Engage in any transaction as a representative or agent of the Agency with any business entity in which he/she has a direct or indirect financial interest that might reasonably tend to conflict with the proper discharge of his/her official duties as an Agency Board Member or employee. § By his/her conduct give reasonable basis for the impression that any person can improperly influence him/her or unduly enjoy his/her favor in the performance of his/her official duties as an Agency Board Member or employee, or that he/she is affected by the kinship, rank, position or influence of any party or person. § Accept personal fees, commissions, other compensation paid, or expenses paid or reimbursed from others, not in the usual course of their business in connection with any business or transaction involving LCIDA. § Act on behalf of LCIDA in any transaction involving others with whom employees or their immediate families have any significant direct or indirect financial interest. § Borrow money from clients or suppliers unless the client or supplier is a financial institution that makes such loans in the ordinary course of business. § Purchase property obtained by LCIDA through repossession or foreclosure and sold by LCIDA, or allow the property to be purchased by any member of their immediate family. § Make any political contribution of money or other property on behalf of LCIDA that would violate federal or state law. § Engage in excessive speculation, borrowing, or gambling. § Make personal investments in enterprises which he/she has reason to believe may be directly involved in decisions to be made by him/her as an Agency Board Member or employee, or which will otherwise create substantial conflict between his/her duty in the public interest as an Agency Board Member or employee and his/her private interest. § Pursue a course of conduct which will raise suspicion among the public that he/she is likely to be engaged in acts that are in violation of his/her trust as an Agency Board Member or employee such as being a named party to a lawsuit against the Agency, either individually or as a controlling member of an outside organization. § Accept the extension of credit or renewal of credit, directly or indirectly, or any personal loan from the Agency. § Sell goods or services to any firm, person, corporation or association which is permitted by, or under contract as a hauler with, the Agency or whose rates are fixed by the Agency, if the Board Member or employee is a member of that firm, corporation or association, owns a substantial ownership interest or stock therein (i.e. 5% or more), or is employed full or part time therewith. § Without the knowledge of an officer of the Board (i.e. Chair, Vice Chair or Treasurer), directly or indirectly solicit or accept any gift during any one calendar month period having a value of $75 or more, whether in the form of meals, drinks, money, service, loan, travel, tickets, entertainment, hospitality, things or promises, or gifts in any other form, under circumstances in which it could reasonably be inferred that the gift was intended to influence him/her in the performance of his/her official duties as an Agency Board Member or employee or was intended as a reward for any official action. § Enter into any agreement, express or implied, for compensation for services to be rendered in relation to any matter before the Agency, whereby the Board Member or Agency employee’s compensation is to be dependant or contingent upon any action by the Agency with respect to such matter. § Engage in any business transaction, directly or indirectly, which might tend to affect his/her judgment in any official act or create a conflict with his/her official duties as Agency Board Member or employee. § During employment with the Agency or Board membership, knowingly enter into an investment or interest, legal or beneficial, directly or indirectly, in any property, real or personal, in conflict with his/her official duties. § For a two (2) year period after the termination of service or employment, appear before this Agency or render services on behalf of any person, firm, corporation or association, other than the Agency itself, in relation to any matter with respect to which such Board Member or employee was directly concerned or in which he/she personally participated during the period of his/her service or employment of which was under his/her active consideration, until such matter has been finally disposed of, nor shall said Board Member or employee receive or agree to receive any compensation with respect to such matter. Nothing herein contained shall prevent or bar an employee or Board Member, after the termination of service or employment, from rendering contractual services to the Agency and being compensated therefore, to the extent the then current Board deems it to be in the interest of the Agency to retain said former Board Member or employee. § No Board Member, including the Board Chair, shall serve as the Agency’s Executive Director or Agency Counsel, while serving as a Member of the Board. § To the extent that he/she knows thereof, a Board Member or employee of the Agency who participates in the discussion of any matter, or gives any official opinion to the Board on a matter, shall disclose the nature and extent of any outside direct financial or other private interest he/she has in any such matter. § Doing any of the above actions indirectly through another person. § An employee or director may accept normal business amenities that facilitate the discussion of company business, foster good business relationships, or serve some other demonstrable business purpose. Gifts of nominal value may be accepted from present or prospective clients, suppliers, vendors, etc., with whom an employee or director maintains an actual or potential business relationship, but generally must not exceed, in the aggregate, $75 in value, from anyone individual/entity in any one (1) calendar year. An employee or director may not accept any cash gift. Similarly, reasonable entertainment may be engaged in between an employee or director and present or prospective client, supplier, vendor, etc., however, the value of such entertainment may not exceed, in the aggregate, $75. If there is any question about the propriety of any gift or entertainment, the employee or director should secure the approval of the Board of Directors prior to accepting the gift. An approval by the Board of Directors is required for any gift in excess of $75 in value. The term "gift" does not include any discounts, programs, etc. that are available to all employees or directors under a general offer to the public. In the event that an employee or director is offered or receives something of value beyond what is authorized in this Code, the employee must promptly disclose such fact to the Board of Directors. · Holding Office/ Appointments § The approval of the Board of Directors is needed before employees may become directors or officers of any business organized for profit. If such service is on behalf of LCIDA, the employee must turn over all compensation received by the employee for such service to LCIDA other than reimbursement for out-of-pocket expenses. § Employees are encouraged to participate in organizations which are involved in charitable, religious, educational, or community activities, and no approval is needed for involvement with such organizations. § Employees are encouraged to participate in civic and political activities. An employee may hold a part-time elective or appointive office provided that the employee receives the approval of the Board of Directors with full disclosure concerning the time involved and the compensation to be received. § Employees must avoid fiduciary appointments that may conflict with the performance of their LCIDA duties or otherwise interfere with their employment relationship. · Internal Accounting Controls § It is the legal responsibility of LCIDA to devise and maintain systems of internal accounting controls that permit the preparation of its financial statements in accordance with applicable laws, rules, and accounting principles. § Any employee or director who becomes aware, directly or indirectly, of an instance of inadequate controls, a failure of controls, or a circumvention of controls, or that transactions, or other items, are improperly recorded on LCIDA's books or records, must promptly report the situation to the Board of Directors and its agency’s counsel. · Compliance § New York Public Authorities Law Section 2045-q provides as follows: “It shall be a misdemeanor for any member of the governing body or any officer, agent, servant or employee of the Agency to be in any way or manner interested, directly or indirectly, in the furnishing of work, materials, supplies or labor, or in any contract therefore which the Agency is empowered by this title to make.” § Each employee or director of LCIDA shall act on LCIDA's behalf in a manner that complies with all laws and regulations under which LCIDA must operate. Any employee or director who becomes aware, either directly or indirectly, of a violation by an LCIDA employee of a law involving a breach of trust, must report the violation promptly to the Board of Directors and the agency’s counsel. § In the event that a Board Member is in conflict with the Code of Ethics, he/she should abstain from any discussion, voting or other official action regarding the conflict. § An employee or director who is convicted of a crime involving a breach of trust must report the conviction to the Board of Directors or the agency’s counsel, so that LCIDA may determine what action, if any, is appropriate or required by applicable law. · Administration § A copy of this Agency Code of Ethics will be distributed by the Executive Director to all employees on commencement or employment, to Board Members when they are appointed to the Board and distributed annually thereafter by the Executive Director to all Board Members and employees. It will also be posted in prominent places in all Agency offices and facilities as well as on the Agency’s Internet web site. § The Agency Counsel shall be designated as the Agency’s Ethics Officer. The functions of the Ethics Officer shall be: 1. To counsel, in confidence, employees and Board Members who seek advice in advance about potential ethics issues. The advice of the Agency’s Ethics Officer is given to assist Board Members and employees in their decision on a course of action under this Code of Ethics. It is advisory only. It is the responsibility of Board Members and employees to independently familiarize themselves with this Agency Code of Ethics. 2. To receive and investigate information received about possible ethics violations in the Agency. The Ethics Officer should forward the information received with an investigative report to the Executive Director. If the Executive Director determines that a probable Code of Ethics violation has occurred involving a Board Member or former Board Member, he shall advise an officer of the Board for possible Board action. The Executive Director shall have responsibility to deal with probable Ethics violations involving Agency employees. 3. To advise the Executive Director of any situation where an employee has reported an unusual or unacceptable number of gifts or gratuities received (i.e. more than five per year), whether from one or several sources. 4. The Agency Ethics Officer will counsel with the Agency’s Administration and Governance Committee about any personal ethics issues he/she may have. § As to alleged Ethics Code violations involving Agency employees or former employees, the Executive Director shall then either: 1. Dismiss the complaint, or 2. Take appropriate disciplinary action, or 3. Forward the complaint to the appropriate authorities for possible criminal review and/or action, or 4. Where applicable, recommend to the Board that legal action be taken to enjoin the violation or to seek money damages on behalf of the Agency, or 5. The Board may direct the Executive Director to forward the complaint to the appropriate authorities for possible criminal review and/or action. § As to alleged Ethics Code violations involving Board Members, the Agency’s Executive Director or Agency Counsel, the Agency Board shall: 1. Dismiss the complaint, or 2. Forward the complaint to the appropriate authorities for possible criminal review/action, or 3. Seek guidance from the NYS Attorney General or Comptroller as to an appropriate course of action, or 4. Where applicable, refer the matter to the Board Members’ appointing authority for any action that entity may deem appropriate, or 5. Where applicable, recommend to the Board that legal action be taken to enjoin the violation or to seek money damages on behalf of the Agency, or 6. Commence an action for removal of that Board Member in accordance with Public Authorities Law Section 2045-c, or 7. Where appropriate, take disciplinary action against the Agency’s Executive Director or Agency Counsel. LCIDA, acting by and through its Board of Directors, shall have the sole and absolute discretionary authority to approve any deviation from the Code's expressed provisions. |
