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(e) Persons other than officers or employees of a person requesting or receiving a COvered Federal action in

clude Consultants and trade associa

tions.

(f) Only those services expressly authorized by this section are allowable under this Section.

Subport D–Pendlties dnd Enforcement

$20.400 Penalties.

(a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure. (b) Any person who fails to file or amend the disclosure form (see appendix B) to be filed Or annended if required herein, shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each Such failUlre. (c) A filing or amended filing on or after the date on which an administrative action for the imposition of a civil penalty is commenced does not prevent the imposition of such civil penalty for a failure occurring before that date. An administrative action is commenced With respect to a failure when an investigating Official determines in writing to Commence an investigation of an allegation of such failure. (d) In determining whether to impose a civil penalty, and the amount of any Such penalty, by reason of a violation by any person, the agency shall consider the nature, circumstances, extent, and gravity of the violation, the effect on the ability of such person to Continue in business, any prior violations by such person, the degree of culpability of such person, the ability of the person to pay the penalty, and such other matters as may be appropriate. (e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $10,000, absent aggravating Circumstances. Second and Subsequent offenses by persons shall be Subject to an appropriate civil penalty between $10,000 and $100,000, as determined by the agency head or his or her designee. (f) An imposition of a civil penalty under this section does not prevent the

United States from seeking any other remedy that may apply to the same Conduct that is the basis for the impoSition of such civil penalty.

$20.405 Penalty procedures.

Agencies shall impose and collect civil penalties pursuant to the proviSions of the Program Fraud and Civil Remedies Act, 31 U.S.C. sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 3812, insofar as these proVisions are not inconsistent with the requirements herein.

$20.410 Enforcement.

The head of each agency shall take Such actions as are necessary to ensure that the provisions herein are vigorOusly implemented and enforced in that agency.

Subport E-Exemptions

$20,500 Secretary of Defense.

(a) The Secretary of Defense may exempt, On a Case-by-case basis, a covered Federal action from the prohibition whenever the Secretary determines, in Writing, that such an exemption is in the national interest. The Secretary shall transmit a copy of each Such written exemption to Congress immediately after making such a determination.

(b) The Department of Defense may issue Supplemental regulations to implenient paragraph (a) of this section.

Subport F-Agency Reports

$20,600 Semi-annual compilation.

(a) The head of each agency shall collect and compile the disclosure reports (See appendix B) and, on May 31 and November 30 of each year, Submit to the Secretary of the Senate and the Clerk of the House of Representatives a report containing a compilation of the information contained in the discloSure reports received during the sixmonth period ending on March 31 or September 30, respectively, of that year.

(b) The report, including the compilation, shall be available for public inspection 30 days after receipt of the report by the Secretary and the Clerk.

(c) Information that involves intelligence matters shall be reported only to the Select Committee on Intelligence of the Senate, the Permanent Select Committee on Intelligence of the House of Representatives, and the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection.

(d) Information that is classified under Executive Order 12356 or any Successor order shall be reported only to the Committee on Foreign Relations of the Senate and the Committee on Foreign Affairs of the House of Representatives or the Committees on Armed Services of the Senate and the House of Representatives (whichever such committees have jurisdiction of matters involving such information) and to the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection.

(e) The first semi-annual compilation shall be submitted on May 31, 1990, and shall contain a compilation of the disclosure reports received from December 23, 1989 to March 31, 1990.

(f) Major agencies, designated by the Office of Management and Budget (OMB), are required to provide machine-readable compilations to the Secretary of the Senate and the Clerk of the House of Representatives no later than with the compilations due on May 31, 1991. OMB shall provide detailed specifications in a memorandum to these agencies.

(g) Non-major agencies are requested to provide machine-readable compilations to the Secretary Of the Senate and the Clerk of the House of Representatives.

(h) Agencies shall keep the originals of all disclosure reports in the official files of the agency.

$20.605 Inspector General report.

(a) The Inspector General, or other official as specified in paragraph (b) of this section, of each agency shall prepare and submit to Congress each year, commencing with Submission of the

President’s Budget in 1991, an evaluation of the compliance of that agency with, and the effectiveness of, the requirements herein. The evaluation may include any recommended changes that may be necessary to strengthen or improve the requirements. (b) In the case of an agency that does not have an Inspector General, the agency official comparable to an Inspector General shall prepare and Submit the annual report, or, if there is no such comparable official, the head of the agency shall prepare and submit the annual report. (c) The annual report shall be submitted at the same time the agency submits its annual budget justifications to Congress. (d) The annual report shall include the following: All alleged violations relating to the agency’s covered Federal actions during the year covered by the report, the actions taken by the head of the agency in the year covered by the report with respect to those alleged violations and alleged violations in previous years, and the amounts of Civil penalties in posed by the agency in the year covered by the report.

APPENDIX A TO PART 20–CERTIFICATION REGARDING LOBBYING

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The underSigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the underSigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in Connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal Contract, grant, loan, or Cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting 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 Federal Contract, grant, loan, or Cooperative agreement, the underSigned Shall complete and submit Standard Form—LL.L., “DiscloSure Form to Report Lobbying,” in a CCOrdance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all Subawards at all 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 $10,000 and not more than $100,000 for each Such failure.

Statement for Loam 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 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 $10,000 and not more than $100,000 for each such failure.

APPENDIX B TO PART 20–DISCLOSURE FORM TO REPORT LOBBYING

DISCLOSURE OF LOBBYING ACTIVITIES ::::::"o" Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 - - - (See reverse for public burden disclosure.) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: a. contract [T] a. bid/offersapplication a. initial filing b. grant b. initial award b. material change ; :"...women c. post-award For Material Change Only: e. loan Ce Year — quarter — f. loan insurance date of last report

4. Name and Address of Reporting Entity:

5. if Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime:

[a] Prime D Subawardee
Tier , if known:
Congressional District, if known: Congressional District, if known:

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12. Form of Payment (check all that apply):
D a cash
D b. in-kind; specify: nature
value

14. Brief Description of Services Performed on to be Performed and Date(s) of Service, including officer(s), employeess). or Member(s) contacted, for Payment indicated in item 11:

Conti $K-lil-A if 15. Continuation Sheet(s) $f-111-A attached: D. Yes D. No 16. Information requested threagh this form is authoriaed by title 31 U.S.C. section 1352. This deciseuse of Ishbying activities is a material representatien Signature: of sect opes which silence wes placed by the tier above when this tremnaction was made or entered inte. This docioease is required purasant to Print Name: st U.S.C. wasz. This information won be reperted to the Congress sewiannually and won be available few public inspection. Any person whe fails to Title: sole the required decisease shad be subject to a civil penalty of net less then $ve.ose and net more than $100,000 for each such failure. Telephone No.: Date:

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This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal ent, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to 31 U.S.C. section 1352. The filing of a form is required for each payment or t to make payment to any lobbying entity for . influencing or attempting 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 a covered Federal action. Use the SF-ill-A Continuation Sheet for tional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.

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1. identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.

2. klentify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Cuard.

7. Enter the Federal program name or description for the covered Federal action (itern 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. •

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number, invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number, the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., “RFP-DE-90-001.”

9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action.

(b)Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle initial (MI).

11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made.

12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment.

13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature.

14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any services rendered. Include all so. and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employeets) contacted or the r(s), employeess), or Member(s) of Congress that were contacted.

15. Check whether or not a SF-Lll-A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title, and telephone number.

information. Send comments regarding the burden estimate or any other aspect of this collection of information, including
for reducing this burden, to the Office of Management and Budget. Paperwork Reduction Project (0348-0046), washington, D.C. 20503.

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