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Subpart D-Penalties and $ 601.405 Penalty procedures.
Agencies shall impose and collect
civil penalties pursuant to the provi$ 601.400 Penalties.
sions of the Program Fraud and Civil (a) Any person who makes an expend
Remedies Act, 31 U.S.C. 3803 (except iture prohibited herein shall be subject
subsection (c)), 3804, 3805, 3806, 3807, to a civil penalty of not less than 3808, and 3812, insofar as these provi$11,000 and not more than $110,000 for
sions are not inconsistent with the reeach such expenditure.
quirements herein. (b) Any person who fails to file or
8 601.410 Enforcement. amend the disclosure form (see appendix B) to be filed or amended if re
The head of each agency shall take
such actions as are necessary to ensure quired herein, shall be subject to a civil
that the provisions herein are vigorpenalty of not less than $11,000 and not
ously implemented and enforced in more than $110,000 for each such fail
that agency. ure. (C) A filing or amended filing on or
Subpart E-Exemptions after the date on which an administrative action for the imposition of a civil
8601.500 Secretary of Defense. penalty is commenced does not prevent
(a) The Secretary of Defense may exthe imposition of such civil penalty for
empt, on a case-by-case basis, a cova failure occurring before that date. An
ered Federal action from the prohibiadministrative action is commenced
tion whenever the Secretary deterwith respect to a failure when an inves
mines, in writing, that such an exemptigating official determines in writing
tion is in the national interest. The to commence an investigation of an al
Secretary shall transmit a copy of each legation of such failure.
such written exemption to Congress (d) In determining whether to impose immediately after making such a dea civil penalty, and the amount of any termination. such penalty, by reason of a violation (b) The Department of Defense may by any person, the agency shall con- issue supplemental regulations to imsider the nature, circumstances, ex- plement paragraph (a) of this section. tent, and gravity of the violation, the effect on the ability of such person to Subpart F-Agency Reports continue in business, any prior violations by such person, the degree of cul $ 601.600 Semi-annual compilation. pability of such person, the ability of (a) The head of each agency shall colthe person to pay the penalty, and such lect and compile the disclosure reports other matters as may be appropriate. (see appendix B) and, on May 31 and
(e) First offenders under paragraphs November 30 of each year, submit to (a) or (b) of this section shall be subject the Secretary of the Senate and the to a civil penalty of $11,000, absent ag- Clerk of the House of Representatives a gravating circumstances. Second and report containing a compilation of the subsequent offenses by persons shall be information contained in the disclosubject to an appropriate civil penalty
sure reports received during the sixbetween $11,000 and $110,000, as deter month period ending on March 31 or mined by the agency head or his or her
September 30, respectively, of that designee.
year. (f) An imposition of a civil penalty
(b) The report, including the comunder this section does not prevent the
pilation, shall be available for public United States from seeking any other
inspection 30 days after receipt of the remedy that may apply to the same
report by the Secretary and the Clerk.
(c) Information that involves intelconduct that is the basis for the impo
ligence matters shall be reported only sition of such civil penalty.
to the Select Committee on Intel(55 FR 6737 and 6746, Feb. 26, 1990, as amended ligence of the Senate, the Permanent at 62 FR 46183, Sept. 2, 1997)
Select Committee on Intelligence of the House of Representatives, and the may be necessary to strengthen or im Committees on Appropriations of the prove the requirements. Senate and the House of Representa- (b) In the case of an agency that doe tives in accordance with procedures not have an Inspector General, th agreed to by such committees. Such in agency official comparable to an In formation shall not be available for spector General shall prepare and sub public inspection.
mit the annual report, or, if there is a (d) Information that is classified such comparable official, the head o under Executive Order 12356 or any suc the agency shall prepare and submi cessor order shall be reported only to the annual report. the Committee on Foreign Relations of (c) The annual report shall be sub the Senate and the Committee on For mitted at the same time the agency eign Affairs of the House of Represent submits its annual budget justifica atives or the Committees on Armed tions to Congress. Services of the Senate and the House of (d) The annual report shall includ Representatives (whichever such com- the following: All alleged violations re mittees have jurisdiction of matters lating to the agency's covered Federa involving such information) and to the actions during the year covered by thi Committees on Appropriations of the report, the actions taken by the head Senate and the House of Representa of the agency in the year covered by tives in accordance with procedures the report with respect to those alleged agreed to by such committees. Such in violations and alleged violations in formation shall not be available for previous years, and the amounts o public inspection.
civil penalties imposed by the agency (e) The first semi-annual compilation in the year covered by the report. shall be submitted on May 31, 1990, and shall contain a compilation of the dis
APPENDIX A TO PART 601closure reports received from Decem CERTIFICATION REGARDING LOBBYING ber 23, 1989 to March 31, 1990.
Certification for Contracts, Grants, Loans, and (f) Major agencies, designated by the
Cooperative Agreements Office of Management and Budget (OMB), are required to provide ma
The undersigned certifies, to the best of his
or her knowledge and belief, that: chine-readable compilations to the
(1) No Federal appropriated funds have Secretary of the Senate and the Clerk
been paid or will be paid, by or on behalf of of the House of Representatives no the undersigned, to any person for influlater than with the compilations due encing or attempting to influence an officer on May 31, 1991. OMB shall provide de or employee of an agency, a Member of Contailed specifications in a memorandum gress, an officer or employee of Congress, or to these agencies.
an employee of a Member of Congress in con
nection with the awarding of any Federal (g) Non-major agencies are requested
contract, the making of any Federal grant, to provide machine-readable compila
the making of any Federal loan, the entering tions to the Secretary of the Senate
into of any cooperative agreement, and the and the Clerk of the House of Rep
extension, continuation, renewal, amendresentatives.
ment, or modification of any Federal con(h) Agencies shall keep the originals tract, grant, loan, or cooperative agreement. of all disclosure reports in the official
(2) If any funds other than Federal approfiles of the agency.
priated funds have been paid or will be paid
to any person for influencing or attempting $601.605 Inspector General report.
to influence an officer or employee of any
agency, a Member of Congress, an officer or (a) The Inspector General, or other
employee of Congress, or an employee of a official as specified in paragraph (b) of Member of Congress in connection with this this section, of each agency shall pre Federal contract, grant, loan, or cooperative pare and submit to Congress each year, agreement, the undersigned shall complete commencing with submission of the
and submit Standard Form-LLL, "DiscloPresident's Budget in 1991, an evalua
sure Form to Report Lobbying," in accord
ance with its instructions. tion of the compliance of that agency
(3) The undersigned shall require that the with, and the effectiveness of, the re
language of this certification be included in quirements herein. The evaluation may the award documents for all subawards at all include any recommended changes that tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $11,000 and not more than $110,000 for each such failure.
to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $11,000 and not more than $110,000 for each such failure. [55 FR 6737 and 6746, Feb. 26, 1990, as amended at 62 FR 46184, Sept. 2, 1997)
Statement for Loan Guarantees and Loan
Insurance The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting