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DocuSign Envelope ID: 1970E54E-AE09-4466-994B-01CAF3868F32
<br /> extend those requirements as necessary to any lower level sub agreement or
<br /> any third party contractor at each tier.
<br /> 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 sub agreements 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 sub agreement 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 sub agreement
<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 (Non procurement)," 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 /> (http://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
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