Section 702.9 - Code of Conduct and Ethics for Oversight Committee Members, Institute Employees, and Program Integration Committee Members(a) All Oversight Committee Members, Program Integration Committee Members, and Institute Employees shall avoid acts which are improper or give the appearance of impropriety in the disposition of state funds.(b) The Oversight Committee shall adopt a Code of Conduct and Ethics to provide guidance related to the ethical conduct required of Oversight Committee Members, Program Integration Committee Members, and Institute Employees. The Code of Conduct and Ethics shall be distributed to each new Oversight Committee Member, Program Integration Committee Member, and Institute Employee not later than the third business day after the date that the person begins employment with or service to the Institute.(c) The Code of Conduct and Ethics shall include at least the following requirements and prohibitions. Nothing herein prevents the Oversight Committee from adopting stricter standards: (1) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not accept or solicit any gift, favor, or service that could reasonably influence him or her in the discharge of official duties or that he or she knows or should know is being offered with the intent to influence him or her or with the intent to influence the member or employee's official conduct.(2) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not accept employment or engage in any business or professional activity that would reasonably require or induce that person to disclose confidential information acquired by reason of the member or employee's official position.(3) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not accept other employment or compensation that could reasonably impair his or her independent judgment in the performance of the member or employee's official duties.(4) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not make personal investments or have a financial interest that could reasonably create a substantial conflict between his or her private interest and the member or employee's official duties.(5) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not intentionally or knowingly solicit, accept, or agree to accept any benefit for exercising his or her official powers or performing the member or employee's official duties in favor of another.(6) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not lease, directly or indirectly, any property, capital equipment, employee or service to a Grant Recipient.(7) A member of the Oversight Committee, Institute Employee, or Program Integration Committee Member, or the spouse of an individual governed by this provision shall not submit a Grant Application to the Institute.(8) A member of the Oversight Committee, the member's spouse, or an Institute Employee shall not be employed by or participate in the management of a business entity or other organization receiving money from the Institute.(9) A member of the Oversight Committee or the member's spouse shall not own or control, directly or indirectly, an interest in a business or entity or other organization receiving money from the Institute.(10) A member of the Oversight Committee or the member's spouse shall not use or receive a substantial amount of tangible goods, services, or money from the Institute other than reimbursement authorized for Oversight Committee Members attendance or expenses.(11) A member of the Oversight Committee, Institute Employee, Program Integration Committee Member, or the spouse of an individual governed by this provision shall not serve on the Grant Recipient's board of directors or similar committee that exercises governing powers over the Grant Recipient. This prohibition also applies to serving on the board of directors or similar committee of a non-profit foundation established to benefit the Grant Recipient.(12) A member of the Oversight Committee, Institute Employee, Program Integration Committee Member, or the spouse of an individual governed by this provision shall not use non-public Third-Party Information, or knowledge of non-public decisions related to Grant Applicants, received by virtue of the individual's employment or official duties associated with the Institute to make an investment or take some other action to realize a personal financial benefit.(13) A member of the Oversight Committee, Institute Employee, or a Program Integration Committee Member who is a member of a professional organization shall comply with any standards of conduct adopted by the organizations of which he or she is a member.(14) A member of the Oversight Committee, Institute Employee, or a Program Integration Committee Member shall be honest in the exercise of all duties and may not take actions that will discredit the Institute.(15) A member of the Oversight Committee or an Institute Employee shall not have an office in a facility owned by an entity receiving or applying to receive money from the Institute.(16) An Oversight Committee Member, Institute Employee, or Program Integration Committee Member shall report to the Institute's Chief Compliance Officer any gift, grant, or consideration received by the individual as soon as possible, but no later than thirty (30) days after receipt of the gift, grant or consideration. The individual shall provide the name of the donor, the date of receipt, and amount of the gift, grant, or consideration.(17) An Oversight Committee Member or Institute Employee may not solicit, agree to accept, or accept an honorarium in consideration for services the Oversight Committee Member or Institute Employee would not have been asked to provide but for the person's official position.(18) An Oversight Committee Member and the Chief Executive Officer shall not make any communication to or appearance before an Institute officer or employee before the second anniversary of the date the Oversight Committee Member or Chief Executive Officer ceased to be a Oversight Committee Member or Chief Executive Officer if the communication or appearance is made: (A) with the intent to influence; and(B) on behalf of any person in connection with any matter on which the person seeks official action.(19) An Oversight Committee Member or Institute Employee who ceases service or employment with the Institute may not represent any person or receive compensation for services rendered on behalf of any person regarding a particular matter in which the former Oversight Committee Member or Institute Employee participated during the period of state service or employment, either through personal involvement or because the issue was a matter within the Oversight Committee Member's or Institute Employee's official responsibility. (A) This paragraph applies to an Institute Employee who is compensated, as of the last date of state employment, at or above the amount prescribed by the General Appropriations Act for step 1, salary group 17, of the position classification salary schedule, including an employee who is exempt from the state's position classification plan.(B) This paragraph does not apply to a rulemaking proceeding that was concluded before the Oversight Committee Member's or Institute Employee's service or employment ceased.(C) For purposes of this paragraph, "participated" means to have taken action as an Oversight Committee member or Institute Employee through decision, approval, disapproval, recommendation, giving advice, investigation or similar matter.(D) For purposes of this paragraph, "particular matter" means a specific investigation, application, request for ruling or determination, rulemaking proceeding, contract, claim, charge, accusation, or judicial or other proceeding.(d) The Code of Conduct and Ethics shall include information about reporting an actual or potential violation of the standards adopted by the Oversight Committee.(e) Any reports due under Texas Government Code § 572.021 shall be simultaneously filed with the Institute.25 Tex. Admin. Code § 702.9
The provisions of this §702.9 adopted to be effective July 13, 2009, 34 TexReg 4640; amended to be effective February 11, 2010, 35 TexReg 872; amended to be effective March 2, 2014, 39 TexReg 1385; Amended by Texas Register, Volume 41, Number 49, December 2, 2016, TexReg 9527, eff. 12/7/2016