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Section 3 . Ethics .
<br /> a . Code of Ethics . The Recipient agrees to maintain a written code or standards of conduct that
<br /> shall govern the actions of its officers , employees, board members , or agents engaged in the
<br /> award or administration of third party contracts or subagreements financed with
<br /> Federal /State assistance . The Recipient agrees that its code or standards of conduct shall
<br /> specify that its officers , employees , board members , or agents may neither solicit nor accept
<br /> gratuities, favors, or anything of monetary value from any present or potential third party
<br /> contractor at any tier or subrecipient at any tier or agent thereof. Such a conflict would arise
<br /> when an employee, officer, board member, or agent, including any member of his or her
<br /> immediate family, partner, or organization that employs , or intends . to employ, any of the
<br /> parties listed herein has a financial interest in the firm selected for award . The Recipient may
<br /> set de minimis rules where the financial interest is not substantial, or the gift is an unsolicited
<br /> item of nominal intrinsic value . The Recipient agrees that its code or standards shall also
<br /> prohibit its officers , employees , board members, or agents from using their respective
<br /> positions in a manner that presents a real or apparent personal or organizational conflict of
<br /> interest or personal gain . As permitted by State or local law or regulations, the Recipient
<br /> agrees that its code or standards of conduct shall include penalties , sanctions, or other
<br /> disciplinary actions for violations by its officers , employees, board members , or their agents,
<br /> or its third party contractors or subrecipients or their agents . ( 1 ) Personal Conflicts of
<br /> Interest. The Recipient agrees that its code or standards of conduct shall prohibit the
<br /> Recipient ' s employees, officers , board members, or agents from participating in the selection,
<br /> award, or administration of any third party contract or subagreement supported by
<br /> Federal / State assistance if a real or apparent conflict of interest would be involved . Such a
<br /> conflict would arise when an employee, officer, board member, or agent, including any
<br /> member of his or her immediate family, partner, or organization that employs, or intends to
<br /> employ, any of the parties listed herein has a financial interest in the firm selected for award.
<br /> ( 2 ) Organizational Conflicts of Interest. The Recipient agrees that its code or standards of
<br /> conduct shall include procedures for identifying and preventing real and apparent
<br /> organizational conflicts of interest. An organizational conflict of interest exists when the
<br /> nature of the work to be performed under a proposed third party contract or subagreement
<br /> may, without some restrictions on future activities , result in an unfair competitive advantage
<br /> to the third party contractor or subrecipient or impair its objectivity in performing the
<br /> contract work.
<br /> b . Debarment and Suspension . The Recipient agrees to comply, and assures the compliance of
<br /> each third party contractor, with Executive Orders Nos . 12549 and 12689 , " Debarment and
<br /> Suspension, " 31 U . S . C . § 6101 note, and U . S . DOT regulations , " Governmentwide Debarment
<br /> and Suspension ( Nonprocurement) , " 49 C . F . R. Part 29 . The Recipient agrees to , and assures
<br /> that its third party contractors will, review the Excluded Parties Listing System at
<br /> (httpm // epls . arnet. gov/) before entering into any contracts .
<br /> c . Bonus or Commission . The Recipient affirms that it has not paid, and agrees not to pay, any
<br /> bonus or commission to obtain approval of its application for the Project.
<br /> d . Lobbying Restrictions . The Recipient agrees that : ( 1 ) It will comply, and will assure the
<br /> compliance of each third party contractor at any tier and each subrecipient at any tier, with
<br /> U . S . DOT regulations , " New Restrictions on Lobbying, " 49 C . F . R. Part 20 , modified as
<br /> necessary by 31 U . S . C . § 1352 , and ( 2 ) To the extent applicable, it will comply with
<br /> Federal / State laws and regulations prohibiting the use of Federal / State assistance for
<br /> activities designed to influence Congress or a State legislature with respect to legislation or
<br /> appropriations, except through proper, official channels .
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