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professional or technical services ren receiving a covered Federal action indered directly in the preparation, sub clude consultants and trade associamission, or negotiation of any commit- tions. ment providing for the United States (f) Only those services expressly auto insure or guarantee a loan.

thorized by this section are allowable (c) For purposes of paragraph (a) of under this section. this section, "professional and techni. cal services" shall be limited to advice

Subpart D-Penalties and and analysis directly applying any pro

Enforcement fessional or technical discipline. For example, drafting or a legal document

8 1271.400 Penalties. accompanying a bid or proposal by a lawyer is allowable. Similarly, techni.

(a) Any person who makes an excal advice provided by an engineer on

penditure prohibited herein shall be the performance or operational capa

subject to a civil penalty of not less bility of a piece of equipment rendered

than $10,000 and not more than directly in the negotiation of a con

$100,000 for each such expenditure. tract is allowable. However, communi (b) Any person who fails to file or cations with the intent to influence

amend the disclosure form (see Appenmade by a professional (such as a li

dix B) to be filed or amended if recensed lawyer) or a technical person quired herein, shall be subject to a (such as a licensed accountant) are not

civil penalty of not less than $10,000 allowable under this section unless and not more than $100,000 for each they provide advice and analysis di.

such failure. rectly applying their professional or

(c) A filing or amended filing on or technical expertise and unless the

after the date on which an administraadvice or analysis is rendered directly

tive action for the imposition of a civil and solely in the preparation, submis penalty is commenced does not presion or negotiation of a covered Feder- vent the imposition of such civil penal. al action. Thus, for example, commu ty for a failure occurring before that nications with the intent to influence

date. An administrative action is commade by a lawyer that do not provide menced with respect to a failure when legal advice or analysis directly and an investigating official determines in solely related to the legal aspects of writing to commence an investigation his or her client's proposal, but gener of an allegation of such failure. ally advocate one proposal over an (d) In determining whether to other are not allowable under this sec impose a civil penalty, and the amount tion because the lawyer is not provid of any such penalty, by reason of a ing professional legal services. Similar violation by any person, the agency ly, communications with the intent to shall consider the nature, circuminfluence made by an engineer provid stances, extent, and gravity of the vioing an engineering analysis prior to lation, the effect on the ability of such the preparation or submission of a bid person to continue in business, any or proposal are not allowable under prior violations by such person, the this section since the engineer is pro degree of culpability of such person, viding technical services but not di- the ability of the person to pay the rectly in the preparation, submission penalty, and such other matters as or negotiation of a covered Federal may be appropriate. action.

(e) First offenders under paragraphs (d) Requirements imposed by or pur- (a) or (b) of this section shall be subsuant to law as a condition for receiv. ject to a civil penalty of $10,000, ing a covered Federal award include absent aggravating circumstances. those required by law or regulation, or Second and subsequent offenses by reasonably expected to be required by persons shall be subject to an approlaw or regulation, and any other re- priate civil penalty between $10,000 quirements in the actual award docu and $100,000, as determined by the ments.

agency head or his or her designee. (e) Persons other than officers or (f) An imposition of a civil penalty employees of a person requesting or under this section does not prevent the United States from seeking any (c) Information that involves intelliother remedy that may apply to the gence matters shall be reported only same conduct that is the basis for the to the Select Committee on Intelliimposition of such civil penalty.

gence of the Senate, the Permanent

Select Committee on Intelligence of 8 1271.405 Penalty procedures.

the House of Representatives, and the Agencies shall impose and collect Committees on Appropriations of the civil penalties pursuant to the provi. Senate and the House of Representasions of the Program Fraud and Civil tives in accordance with procedures Remedies Act, 31 U.S.C. sections 3803 agreed to by such committees. Such (except subsection (c)), 3804, 3805, information shall not be available for 3806, 3807, 3808, and 3812, insofar as public inspection. these provisions are not inconsistent (d) Information that is classified with the requirements herein.

under Executive Order 12356 or any

successor order shall be reported only 8 1271.410 Enforcement.

to the Committee on Foreign RelaThe head of each agency shall take tions of the Senate and the Committee such actions as are necessary to ensure on Foreign Affairs of the House of that the provisions herein are vigor Representatives or the Committees on ously implemented and enforced in Armed Services of the Senate and the that agency.

House of Representatives (whichever

such committees have jurisdiction of Subpart E-Exemptions

matters involving such information)

and to the Committees on Appropria8 1271.500 Secretary of Defense.

tions of the Senate and the House of (a) The Secretary of Defense may

Representatives in accordance with exempt, on a case-by-case basis, a cov

procedures agreed to by such commitered Federal action from the prohibi.

tees. Such information shall not be tion whenever the Secretary deter- avail

available for public inspection. nes in writing that such an exemo. (e) The first semi-annual compilation is in the national interest. The tion shall be submitted on May 31, Secretary shall transmit a copy of 1990, and shall contain a compilation each such written exemption to Con of the disclosure reports received from gress immediately after making such a December 23, 1989 to March 31, 1990. determination.

(f) Major agencies, designated by the (b) The Department of Defense may Office of Management and Budget issue supplemental regulations to im (OMB), are required to provide maplement paragraph (a) of this section. chine-readable compilations to the

Secretary of the Senate and the Clerk Subpart F-Agency Reports

of the House of Representatives no

later than with the compilations due 8 1271.600 Semi-annual compilation. on May 31, 1991. OMB shall provide (a) The head of each agency shall

detailed specifications in a memoran

dum to these agencies. collect and compile the disclosure reports (see Appendix B) and, on May 31

(g) Non-major agencies are requestand November 30 of each year, submit

ed to provide machine-readable compi. to the Secretary of the Senate and the

lations to the Secretary of the Senate Clerk of the House of Representatives

and the Clerk of the House of Reprea report containing a compilation of

sentatives. the information contained in the dis

(h) Agencies shall keep the originals closure reports received during the six

of all disclosure reports in the official month period ending on March 31 or files of the agency. September 30, respectively, of that

§ 1271.605 Inspector General report. year.

(b) The report, including the compi (a) The Inspector General, or other lation, shall be available for public in- official as specified in paragraph (b) of spection 30 days after receipt of the this section, of each agency shall prereport by the Secretary and the Clerk. pare and submit to Congress each

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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 require ments.

(b) In the case of an agency that does not have an Inspector General, the agency official comparable to an

n 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 al. leged violations and alleged violations

on in previous years, and the amounts of civil penalties imposed by the agency in the year covered by the report.

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 intluence 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-LLL, "Disclo· sure Form to Report Lobbying," in accordance 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.

APPENDIX A TO PART 1271CERTIFICATION 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,

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 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 1271-DISCLOSURE FORM TO REPORT LOBBYING
DISCLOSURE OF LOBBYING ACTIVITIES

Approved by OMB

0340-0046 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
1 a. bid/offer/application

a. initial filing
b. grant
b. initial award

b. material change
c. cooperative agreement

c. post-award
d. loan

For Material Change Only:
year

quarter
e. loan guarantee
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: O Prime

Subawardee
Tier , if known:

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(attach Continuation Sheet(s) SF-LL-A, if necessary) 11. Amount of Payment (check all that apply):

13. Type of Payment (check all that apply):
-
O actual planned o a. retainer

o b. one-time fee 12. Form of Payment (check all that apply):

c. commission

O O a. cash

d. contingent fee

e. deferred b. in-kind; specify: nature

o f other, specify: value

OOOOO

14. Briet Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s).

or Member's) contacted, for Payment Indicated in Item 11:

(attach Continuation Sheet(s) SF-WL-A if necessary) 15. Continuation Sheet(s) SF-LUL-A attached: Yes No

16.

Information requested through this form is authorised by title 31 U.S.C. section 1352. This dinclosure o lobbying activities is a material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered into. This dit.cloure is required purwant to 31 U.S.C. 1352. This information will be reported to the Congress sem annually and will be wailable for public inspection. Any person who fails to File the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than $100.000 for each such failure.

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INSTRUCTIONS FOR COMPLETION OF SF-UL, DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing pursuant to ude 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement 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-LLL-A Continuation Sheet for additional 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. 1. Identify the type of covered Federal action for which lobbying activity is andor has been secured to influence the

outcome of a covered federal action. 2. Identity the status of the covered Federal action. 3. Identity 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. Identity 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, it known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 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 wailable for the Federal action identified in item 1- (e.g.,

Request for Proposal (RFP) number, Invitation for Bid (IFB) number, frant announcement number, the contract, grant, or loan award number, the soplicatio gran, or voan 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 awardloan 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 individuals) performing services, and include full address it 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, spectly nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to

pertorm, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identity the Federal official(s) or employee(s) contacted or the officer(s),

employee(s), 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 shell sign and date the form, print histher name, dide, and telephone number.

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