| (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
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