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NFTA Commissioner Code of Ethics
Revised: April 23, 2015
NIAGARA FRONTIER TRANSPORTATION AUTHORITY
BOARD OF COMMISSIONERS
CODE OF ETHICS
Section 1. Business and Professional Activities by NFTA Commissioners.
a. As used in this Code of Ethics: The term “NFTA Commissioner” shall
mean any Commissioner of the NFTA or any Commissioner of a subsidiary corporation of the
NFTA.
The term “‘compensation” shall mean any money, thing of value or
financial benefit conferred in return for services rendered or to be rendered. With regard to matters
undertaken by a firm, corporation or association, compensation shall mean net revenues, as defined
in accordance with generally accepted accounting principles as defined by the joint commission
on public ethics.
b. No NFTA Commissioner shall receive, or enter into any agreement express
or implied for, compensation for services to be rendered in relation to any case, proceeding,
application, or other matter before any state agency, or any executive order, or any legislation or
resolution before the state legislature, whereby the Commissioner’s compensation is to be
dependent or contingent upon any action by the NFTA with respect to any license, contract,
certificate, ruling, decision, executive order, opinion, rate schedule, franchise, legislation,
resolution or other benefit; provided, however, that nothing in this paragraph shall be deemed to
prohibit the fixing at any time of fees based upon the reasonable value of the services rendered.
c. No NFTA Commissioner shall receive, directly or indirectly, or enter into
any agreement express or implied, for any compensation, in whatever form, for the appearance or
rendition of services by the Commissioner or another against the interest of the NFTA in relation
to any case, proceeding, application or other matter before, or the transaction of business by the
Commissioner or another, with any court.
d. No NFTA Commissioner or firm or association of which such
Commissioner is a member, or corporation, ten per centum or more of the stock of which is owned
or controlled directly or indirectly by such Commissioner, shall sell any goods or services having
a value in excess of twenty-five dollars to the NFTA, or contract for or provide such goods or
services with or to any private entity where the power to contract, appoint or retain on behalf of
such private entity is exercised, directly or indirectly, by the NFTA unless such goods or services
are provided pursuant to an award or contract let after public notice and competitive bidding. This
paragraph shall not apply to the publication of resolutions, advertisements or other legal
propositions or notices in newspapers designated by law for such purpose and for which the rates
are fixed pursuant to law. For the purposes of this paragraph, the term “services” shall not include
employment as an employee.
e. No NFTA Commissioner shall, directly or indirectly, solicit, accept or
receive any gift more than a nominal value, whether in the form of money, service, loan, travel,
lodging, meals, refreshment, entertainment, discount, forbearance or promise, or in any other form,
under circumstances in which it could reasonably be inferred that the gift was intended to
influence, or could reasonably be expected to influence, the performance of the Commissioners
official duties or was intended as a reward for any official action on the Commissioner’s part.
f. No NFTA Commissioner shall receive, directly or indirectly, or enter into
any agreement express or implied for, any compensation, in whatever form, for the appearance or
rendition of services by the Commissioner or another in relation to any case, proceeding,
application or other matter before the NFTA where such appearance or rendition of services is in
connection with the purchase, sale, rental or lease of real property, goods or services, or a contract
therefor, from, to or with the NFTA or the obtaining of grants of moneys or loans.
g. No person who has served as an NFTA Commissioner shall within a period
of two years after the termination of such service appear before the NFTA or receive compensation
for any services rendered by such former Commissioner on behalf of any person, firm, corporation
or association in relation to any case, proceeding or application or other matter before the NFTA.
No person who has served an NFTA Commissioner shall after the termination of such service
appear, practice, communicate or otherwise render services before the NFTA or receive
compensation for any such services rendered by the commission such former Commissioner on
behalf of any person, firm, corporation or other transaction with respect to which the
Commissioner was directly concerned and in which the Commissioner personally participated
during the Commissioner’s period of service, or which was under the Commissioner’s active
consideration. This paragraph shall not apply to any appearance, practice, communication or
rendition of services before the NFTA rendered by a former Commissioner which is made while
carrying out official duties for a federal, state or local government or agency.
h. Nothing contained herein shall be construed or applied to prohibit any firm,
association or corporation, in which any present or former Commissioner is a member, associate,
retired member, of counsel or shareholder, from appearing, practicing, communicating or
otherwise rendering services in relation to any matter before, or transacting business with the
NFTA, where such Commissioner does not share in the net revenues resulting therefrom, or, acting
in good faith, reasonably believed that such Commissioner would not share in the net revenues.
i. An NFTA Commissioner who is a member, associate, retired member, of
counsel to, or shareholder of any firm, association or corporation which is appearing or rendering
services in connection with any matter before, or transacting any business with the NFTA, shall
not orally communicate, with or without compensation, as to the merits of such cause with an
officer or employee of the NFTA.
j. No NFTA Commissioner shall serve as an officer of any political party or
political organization or serve as a member of any political party committee including political
party district leader (however designated) or member of the national committee of a political party.
k. No NFTA Commissioner shall participate in any decision to hire, promote,
discipline or discharge a relative (defined as any person living in the same household as the
individual and any person who is a direct descendant of that individual’s grandparents or the
spouse of such descendant) for any compensated position at, for or within the NFTA.
l. No NFTA Commissioner shall participate in any contracting decision
involving the payment of more than one thousand dollars to that individual, any relative of the
Commissioner, or any entity in which the Commissioner or any relative has a financial interest; or
participate in any decision to invest public funds in any security of any entity in which the
Commissioner or any relative of the Commissioner has a financial interest, is an underwriter, or
receives any brokerage, origination or servicing fees.
m. No NFTA Commissioner involved in the awarding of grants or contracts
may ask a current or prospective grantee or contractor, or any officer, director or employee thereof,
to disclose: (i) the party affiliation of such grantee or contractor, or any officer, director or
employee thereof; (ii) whether such grantee or contractor, or any officer, director or employee
thereof, has made campaign contributions to any party, elected official, or candidate for elective
office; or (iii) whether such grantee or contractor, or any officer, director or employee thereof, cast
a vote for or against any elected official, candidate or political party. No NFTA Commissioner
may award or decline to award any grant or contract, or recommend, promise or threaten to do so,
in whole or in part, because of a current or prospective grantee’s or contractor’s refusal to answer
any inquiry prohibited by the previous of this subdivision, or giving or withholding or neglecting
to make any contribution of money or service or any other valuable thing for any political purpose.
Section 2. Conflicts of Interest.
a. Rule with respect to conflicts of interest. No NFTA Commissioner should
have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction
or professional activity or incur any obligation of any nature, which is in substantial conflict with
the proper discharge of the Commissioner’s duties in the public interest.
b. Standards.
1. No NFTA Commissioner should accept other employment or
service which will impair the Commissioner’s independence of judgment in the exercise of official
duties.
2. No NFTA Commissioner should accept employment or engage in
any business or professional activity which will require the Commissioner to disclose confidential
information which the Commissioner gained by reason of the Commissioner’s official position or
authority.
3. No NFTA Commissioner should disclose confidential information
acquired in the course of official duties nor use such information to further personal interests.
4. No NFTA Commissioner should use or attempt to use the
Commissioner’s official position to secure unwarranted privileges or exemptions for himself or
herself or others, including but not limited to, the misappropriation to himself, herself or to others
of the property, services or other resources of the NFTA for private business or other compensated
non-governmental purposes.Revised: April 23, 2015
5. No NFTA Commissioner should engage in any transaction as
representative of the NFTA with any business entity in which the Commissioner has a direct or
indirect financial interest that might reasonably tend to conflict with the proper discharge of official
duties.
6. An NFTA Commissioner’s conduct should not give reasonable basis
for the impression that any person can improperly influence the Commissioner or unduly enjoy
the Commissioner’s favor in the performance of the Commissioner’s official duties, or that the
Commissioner is affected by the kinship, rank, position or influence of any party or person.
7. An NFTA Commissioner should abstain from making personal
investments in enterprises which the Commissioner has reason to believe may be directly involved
in decisions to be made by the Commissioner or which will otherwise create substantial conflict
between the Commissioner’s public and private interests.
8. An NFTA Commissioner should endeavor to pursue a course of
conduct which will not raise suspicion among the public that he is likely to be engaged in acts that
are in violation of the Commissioner’s trust.
c. Procedures for Disclosing a Conflict of Interest.
1. Disclosure. NFTA Commissioners must not only avoid actual
conflicts of interest but also even the appearance of a conflict. If a Commissioner believes he or
she has an actual or potential conflict of interest on a particular matter, or if a Commissioner
becomes aware that he or she has an actual or potential conflict of interest on a particular matter
during a Committee or Board meeting, the Commissioner shall promptly notify the Chairperson
of the Board or the Chairperson of the Committee and shall immediately recuse themselves from
consideration of or action on such matter. Such disclosure shall be recorded in the minutes of the
meeting and be made part of the public record.
2. Recusal. The Commissioner with the conflict of interest shall
refrain from participating in discussions, decisions or deliberations on the matter creating the
conflict and shall recuse him or herself from any discussion, decision, deliberation or vote by the
Board or the Committee on the matter creating the conflict. Whenever practicable, the
Commissioner should leave the Board room until any discussion about the matter that gives rise
to the conflict of interest has concluded.
3. Improper Influence. The Commissioner with the conflict of interest
shall refrain from directly or indirectly attempting to influence the discussions, decisions,
deliberations or vote on the matter giving rise to such conflict.