> **DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB**

**0348-0046**

Complete this form to disclose lobbying activities pursuant to 31 U.S.C.
1352

(See below for public burden disclosure.)

+-----------------------+----------------------+----------------------+
| 1\. Type of Federal   | 2\. Status of        | 3\. Report Type:     |
| Action:               | Federal Action:      |                      |
|                       |                      | a\. initial filing   |
| a\. contract          | a\.                  |                      |
|                       | b                    | b\. material change  |
| b\. grant             | id/offer/application |                      |
|                       |                      | For material change  |
| c\. cooperative       | b\. initial award    | only:                |
| agreement             |                      |                      |
|                       | c\. post-award       | year \_\_\_\_\_\_    |
| d\. loan              |                      | quarter \_\_\_\_\_\_ |
|                       |                      |                      |
| e\. loan guarantee    |                      | date of last report  |
|                       |                      | \_\_\_\_\_\_         |
| f\. loan insurance    |                      |                      |
+-----------------------+----------------------+----------------------+

+-----------------------------------+----------+----------------------+
| 4\. Name and Address of Reporting | 5\. If   |                      |
| Entity:                           | R        |                      |
|                                   | eporting |                      |
| Prime Subawardee                  | Entity   |                      |
|                                   | in No. 4 |                      |
| Tier\_\_\_\_, *if known*:         | is       |                      |
|                                   | Sub      |                      |
| Congressional District, *if       | awardee, |                      |
| known*:                           | Enter    |                      |
|                                   | Name and |                      |
|                                   | Address  |                      |
|                                   | of       |                      |
|                                   | Prime:   |                      |
|                                   |          |                      |
|                                   | Congr    |                      |
|                                   | essional |                      |
|                                   | D        |                      |
|                                   | istrict, |                      |
|                                   | *if      |                      |
|                                   | known*:  |                      |
+-----------------------------------+----------+----------------------+
| 6\. Federal Department/Agency:    | 7\.      |                      |
|                                   | Federal  |                      |
|                                   | Program  |                      |
|                                   | N        |                      |
|                                   | ame/Desc |                      |
|                                   | ription: |                      |
|                                   |          |                      |
|                                   | CFDA     |                      |
|                                   | Number,  |                      |
|                                   | *if      |                      |
|                                   | appl     |                      |
|                                   | icable:* |                      |
|                                   | \_\_     |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
+-----------------------------------+----------+----------------------+
| 8\. Federal Action Number, *if    | 9\.      |                      |
| known:*                           | Award    |                      |
|                                   | Amount,  |                      |
|                                   | *if      |                      |
|                                   | known:*  |                      |
|                                   |          |                      |
|                                   | \$       |                      |
+-----------------------------------+----------+----------------------+
| 10\. a. Name and Address of       | b\.      |                      |
| lobbying registrant               | Ind      |                      |
|                                   | ividuals |                      |
| (*if individual, last name, first | pe       |                      |
| name, MI):*                       | rforming |                      |
|                                   | services |                      |
|                                   | (*i      |                      |
|                                   | ncluding |                      |
|                                   | address, |                      |
|                                   | if       |                      |
|                                   | d        |                      |
|                                   | ifferent |                      |
|                                   | from No. |                      |
|                                   | 10a)*    |                      |
|                                   |          |                      |
|                                   | *(last   |                      |
|                                   | name,    |                      |
|                                   | first    |                      |
|                                   | name,    |                      |
|                                   | MI):*    |                      |
+-----------------------------------+----------+----------------------+
| 16\. Information requested        | Si       |                      |
| through this form is authorized   | gnature: |                      |
| by title 31 U.S.C. section 1352.  | \_\_\_   |                      |
| This disclosure of 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        | \_\_\_\_ |                      |
| disclosure is required pursuant   | \_\_\_\_ |                      |
| to 31 U.S.C. 1352. This           | \_\_\_\_ |                      |
| information will be reported to   | \_\_\_\_ |                      |
| the Congress semi-annually and    |          |                      |
| will be available for public      | Print    |                      |
| inspection. Any person who fails  | Name:    |                      |
| 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.                | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   |          |                      |
|                                   | Title:   |                      |
|                                   | \_\_\_   |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   |          |                      |
|                                   | T        |                      |
|                                   | elephone |                      |
|                                   | No.:     |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
|                                   | Date:\_  |                      |
|                                   | \_\_\_\_ |                      |
|                                   | \_\_\_\_ |                      |
+-----------------------------------+----------+----------------------+
| Federal Use Only:                 |          | Authorized for Local |
|                                   |          | Reproduction         |
|                                   |          |                      |
|                                   |          | Standard Form - LLL  |
+-----------------------------------+----------+----------------------+

**INSTRUCTIONS FOR COMPLETION OF 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 title 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.** 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 and/or has been secured to influence the outcome of a
covered Federal action.

2\. Identify the status of the covered Federal action.

3\. Identify the appropriate classification of this report. If this is a
follow-up 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
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 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
registrant, under the Lobbying Disclosure Act of 1995, 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).

16\. The certifying official shall sign and date the form, print his/her
name, title, and telephone number.

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  Public reporting burden for this collection of information is estimated
  to average 30 minutes per response, including time for reviewing
  instructions, searching existing data sources, gathering and
  maintaining the data needed, and completing and reviewing the
  collection of information. Send comments regarding the burden estimate
  or any other aspects of this collection of information, including
  suggestions for reducing this burden, to the Office of Management and
  Budget, Paperwork Reduction Project (0348-0046), Washington, D.C.
  20503.

  -----------------------------------------------------------------------

PART \_\_\_\_\_\_\_\_ - NEW RESTRICTIONS ON LOBBYING

Subpart A ‑ General

Sec.

\_\_\_.100 Conditions on use of funds.

\_\_\_.105 Definitions.

\_\_\_.110 Certification and Disclosure.

Subpart B ‑ Activities by Own Employees.

\_\_\_.200 Agency and legislative liaison.

\_\_\_.205 Professional and technical services.

\_\_\_.210 Reporting.

Subpart C ‑ Activities by Other than Own Employees

\_\_\_.300 Professional and technical services.

Subpart D‑ Penalties and Enforcement

\_\_\_.400 Penalties.

\_\_\_.405 Penalty procedures.

\_\_\_.410 Enforcement.

Subpart E ‑ Exemptions

\_\_\_.500 Secretary of Defense.

Subpart F‑ Agency Reports

\_\_\_.600 Semi‑annual compilation.

\_\_\_.605 Inspector General report.

Appendix A to Part \_\_\_ ‑ Certification Regarding Lobbying

Appendix B to Part \_\_\_ ‑ Disclosure Form to Report Lobbying

Appendix C to Part \_\_\_ ‑ Contract Clause

Authority: Section 319, Public Law 101‑121 (31 U.S.C. 1352)

(citation to Agency rulemaking authority); as amended by sec. 10, Public

Law 104‑65.

**Subpart A ‑ General**

\_\_\_.100 Conditions on use of funds.

\(a\) No appropriated funds may be expended by the recipient of a
Federal contract, grant, loan, or cooperative agreement to pay 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 any of the
following covered Federal actions: 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.

\(b\) Each person who requests or receives from an agency a Federal
contract, grant, loan, or cooperative agreement shall file with that
agency a certification, set forth in Appendix A, that the person has not
made, and will not make, any payment prohibited by paragraph (a) of this
section.

\(c\) Each person who requests or receives from an agency a Federal
contract, grant, loan, or a cooperative agreement shall file with that
agency a disclosure form, set forth in Appendix B, if such person has
made or has agreed to make any payment using nonappropriated funds (to
include profits from any covered Federal

action), which would be prohibited under paragraph (a) of this section
if paid for with appropriated funds.

\(d\) Each person who requests or receives from an agency a commitment
providing for the United States to insure or guarantee a loan shall file
with that agency a statement, set forth in Appendix A, whether that
person has made or has agreed to make any payment to influence or
attempt 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 that loan insurance or guarantee.

\(e\) Each person who requests or receives from an agency a commitment
providing for the United States to insure or guarantee a loan shall file
with that agency a disclosure form, set forth in Appendix B, if that
person has made or has agreed to make any payment to influence or
attempt 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 that loan insurance or guarantee.

\_\_\_.105 Definitions.

For purposed of this part:

\(a\) [Agency]{.underline}, as defined in 5 U.S.C. 552(f), includes
Federal executive departments and agencies as well as independent
regulatory commissions and Government corporations, as defined in 31
U.S.C. 9101(1).

\(b\) [Covered Federal action]{.underline} means any of the following
Federal actions:

\(1\) The awarding of any Federal contract;

\(2\) The making of any Federal grant;

\(3\) The making of any Federal loan;

\(4\) The entering into of any cooperative agreement; and,

\(5\) The extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan or cooperative agreement.

Covered Federal action does not include receiving from an agency a
commitment providing for the United States to insure or guarantee a
loan. Loan guarantees and loan insurance are addressed independently
within this part.

\(c\) [Federal contract]{.underline} means an acquisition contract
awarded by an agency, including those subject to the Federal Acquisition
Regulation (FAR), and any other acquisition contract for real or
personal property or services not subject to the FAR.

\(d\) [Federal cooperative agreement]{.underline} means a cooperative
agreement entered into by an agency.

\(e\) [Federal grant]{.underline} means an award of financial assistance
in the form of money, or property in lieu of money, by the Federal
Government or a direct appropriation made by law to any person. The term
does not include technical assistance which provides services instead of
money, or other assistance in the form of revenue sharing, loans, loan
guarantees, loan insurance, interest subsidies, insurance, or direct
United States cash assistance to an individual.

\(f\) [Federal loan]{.underline} means a loan made by an agency. The
term does not include loan guarantee or loan insurance.

\(g\) [Indian Tribe]{.underline} and [tribal organization]{.underline}
have the meaning provided in section 4 of the Indian Self‑Determination
and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are
included under the definitions of Indian tribes in that Act.

\(h\) [Influencing or attempting to influence]{.underline} means making,
with the intent to influence, any communication to or appearance before
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 any covered Federal action.

\(i\) [Loan guarantee]{.underline} and [loan insurance]{.underline}
means an agency\'s guarantee or insurance of a loan made by a person.

\(j\) [Local government]{.underline} means a unit of government in a
State and, if chartered, established, or otherwise recognized by a State
for the performance of a governmental duty, including a local public
authority, a special district, an intrastate district, a council of
governments, a sponsor group representative organization, and any other
instrumentality of a local government.

\(k\) officer or employee of an agency includes the following
individuals who are employed by an agency:

\(1\) An individual who is appointed to a position in the Government
under title 5, U.S. Code, including a position under a temporary
appointment;

\(2\) A member of the uniformed services as defined in section 101(3),
title 37, U.S. Code;

\(3\) A special Government employee as defined in section 202, title 18,
U.S. Code; and,

\(4\) An individual who is a member of a Federal advisory committee, as
defined by the Federal Advisory Committee Act, title 5, U.S. appendix 2.

\(l\) [Person]{.underline} means an individual corporation, company,
association, authority, firm, partnership, society, State and local
government, regardless of whether such entity is operated for-profit, or
not for-profit. This term excludes an Indian tribe, tribal organization,
or any other Indian organization with respect to expenditures
specifically permitted by other Federal law.

\(m\) [Reasonable compensation]{.underline} means, with respect to a
regularly employed officer or employee of any person, compensation that
is consistent with the normal compensation for such officer or employee
for work that is not furnished to, not funded by, or not furnished in
cooperation with the Federal Government.

\(n\) [Reasonable payment]{.underline} means, with respect to
professional and other technical services, a payment in an amount that
is consistent with the amount normally paid for such services in the
private sector.

\(o\) [Recipient]{.underline} includes all contractors, subcontractors
at any tier, and subgrantees at any tier of the recipient of funds
received in connection with a Federal contract, grant, loan, or
cooperative agreement. The term excludes an Indian tribe, tribal
organization, or any other Indian organization with respect to
expenditures specifically permitted by other Federal law.

\(p\) [Regularly employed]{.underline} means, with respect to an officer
or employee of a person requesting or receiving a Federal contract,
grant, loan, or cooperative agreement or a commitment providing for the
United States to insure or guarantee a loan, an officer or employee who
is employed by such person for at least 130 working days within one year
immediately preceding the date of the submission that initiates agency
consideration of such person for receipt of such contract, grant, loan,
cooperative agreement, loan insurance commitment, or loan guarantee
commitment. An officer or employee who is employed by such person for
less than 130 working days within one year immediately preceding the
date of the submission that initiates agency consideration of such
person shall be considered to be regularly employed as soon as he or she
is employed by such person for 130 working days.

\(q\) [State]{.underline} means a State of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, a territory or
possession of the United States, an agency or instrumentality of a
State, and a multi‑State, regional, or interstate entity having
governmental duties and powers.

\_\_\_.110 Certification and Disclosure.

\(a\) Each person shall file a certification, and a disclosure form, if
required, with each submission that initiates agency consideration of
such person for:

\(1\) Award of a Federal contract, grant, or cooperative agreement
exceeding \$100,000; or

\(2\) An award of a Federal loan or a commitment providing for the
United States to insure or guarantee a loan exceeding \$150,000.

\(b\) Each person shall file a certification, and a disclosure form, if
required, upon receipt by such person of:

\(1\) A Federal contract, grant, or cooperative agreement exceeding
\$100,000; or

\(2\) A Federal loan or a commitment providing for the United States to
insure or guarantee a loan exceeding \$150,000, unless such person
previously filed a certification, and a disclosure form, if required,
under paragraph (a) of this section.

\(c\) Each person shall file a disclosure form at the end of each
calendar quarter in which there occurs any event that required
disclosure or that materially affects the accuracy of the information
contained in any disclosure form previously filed by such person under
paragraphs (a) or (b) of this section. An event that materially affects
the accuracy of the information reported includes:

\(1\) A cumulative increase of \$25,000 or more in the amount paid or
expected to be paid for influencing or attempting to influence a covered
Federal action; or

\(2\) A change in the person(s) or individual(s) influencing or
attempting to influence a covered Federal action; or,

\(3\) A change in the officer(s), employee(s), or Member(s) contacted to
influence or attempt to influence a covered Federal action.

\(d\) Any person who requests or receives from a person referred to in
paragraphs (a) or (b) of this section:

\(1\) A subcontract exceeding \$100,000 at any tier under a Federal
contract;

\(2\) A subgrant, contract, or subcontract exceeding \$100,000 at any
tier under a Federal grant;

\(3\) A contract or subcontract exceeding \$100,000 at any tier under a
Federal loan exceeding \$150,000; or,

\(4\) A contract or subcontract exceeding \$100,000 at any tier under a
Federal cooperative agreement,

shall file a certification, and a disclosure form, if required, to the
next tier above.

\(e\) disclosure forms, but not certifications, shall be forwarded from
tier to tier until received by the person referred to in paragraphs (a)
or (b) of this section. That person shall forward all disclosure forms
to the agency.

\(f\) Any certification or disclosure form filed under paragraph (e)
shall be treated as a material representation of fact upon which all
receiving tiers shall rely. All liability arising from an erroneous
representation shall be borne solely by the tier filing that
representation and shall not be shared by any tier to which the
erroneous representation is forwarded. Submitting an erroneous
certification or disclosure constitutes a failure to file the required
certification or disclosure, respectively. If a person fails to file a
required certification or disclosure, the United States may pursue all
available remedies, including those authorized by section 1352, title
31, U.S. Code.

\(g\) For awards and commitments in process prior to December 23, 1989,
but not made before that date, certifications shall be required at award
or commitment, covering activities occurring between December 23, 1989,
and the date of award or commitment. However, for awards and commitments
in process prior to the December 23, 1989 effective date of these
provisions, but not made before December 23, 1989, disclosure forms
shall not be required at time of award or commitment but shall be filed
within 30 days.

\(h\) No reporting is required for an activity paid for with
appropriated funds if that activity is allowable under either Subpart B
or C.

**Subpart B ‑ Activities by Own Employees**

\_\_\_.200 Agency and legislative liaison.

\(a\) The prohibition on the use of appropriated funds, in \_.100 (a) ,
does not apply in the case of a payment of reasonable compensation made
to an officer or employee of a person requesting or receiving a Federal
contract, grant, loan, or cooperative agreement if the payment is for
agency and legislative liaison activities not directly related to a
covered Federal action.

\(b\) For purposes of paragraph (a) of this section, providing any
information specifically requested by an agency or Congress is allowable
at any time.

\(c\) For purposes of paragraph (a) of this section, the following
agency and legislative liaison activities are allowable at any time only
where they are not related to a specific solicitation for any covered
Federal action:

\(1\) Discussing with an agency (including individual demonstrations)
the qualities and characteristics of the person\'s products or services,
conditions or terms of sale, and service capabilities; and,

\(2\) Technical discussions and other activities regarding the
application or adaptation of the person\'s products or services for any
agency\'s use.

\(d\) For purposes of paragraph (a) of this section, the following
agency and legislative liaison activities are allowable only where they
are prior to formal solicitation of any covered. Federal action:

\(1\) Providing any information not specifically requested but necessary
for an agency to make an informed decision about initiation of a covered
Federal action;

\(2\) Technical discussions regarding the preparation of an unsolicited
proposal prior to its official submission; and, (3) Capability
presentations by persons seeking awards from an agency pursuant to the
provisions of the Small Business Act, as amended by Public Law 95‑507
and other subsequent amendments.

\(e\) Only those activities expressly authorized by this section are
allowable under this section.

\_\_\_.205 Professional and technical services.

\(a\) The prohibition on the use of appropriated funds, in \_.100 (a),
does not apply in the case of a payment of reasonable compensation made
to an officer or employee of a person requesting or receiving a Federal
contract, grant, loan, or cooperative agreement or an extension,
continuation, renewal, amendment, or notification of a Federal contract,
grant, loan, or cooperative agreement if payment is for professional or
technical services rendered directly in the preparation, submission, or
negotiation of any bid, proposal, or application for that Federal
contract, grant, loan, or cooperative agreement or for meeting
requirements imposed by or pursuant to law as a condition for receiving
that Federal contract, grant, loan, or cooperative agreement.

\(b\) For purposes of paragraph (a) of this section \"professional and
technical services\" shall be limited to advice and analysis directly
applying any professional or technical discipline. For example, drafting
of a legal document accompanying a bid or proposal by a lawyer is
allowable. Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment rendered
directly in the negotiation of a contract is allowable. However,
communications with the intent to influence made by a professional (such
as a licensed lawyer) or a technical person (such as a licensed
accountant) are not allowable under this section unless they provide
advice and analysis directly applying their professional or technical
expertise and unless the advice or analysis is rendered directly and
solely in the preparation, submission or negotiation of a covered
Federal action. Thus, for example, communications with the intent to
influence made by a lawyer that do not provide legal advice or analysis
directly and solely related to the legal aspects of his or her client\'s
proposal, but generally advocate one proposal over another are not
allowable under this section because the lawyer is not providing
professional legal services. Similarly, communications with the intent
to influence made by an engineer providing an engineering analysis prior
to the preparation or submission of a bid or proposal are not allowable
under this section since the engineer is providing technical services,
but not directly in the preparation, submission or negotiation of
covered Federal action.

\(c\) Requirements imposed by or pursuant to law as a condition for
receiving a covered Federal award include those required by law or
regulation, or reasonably expected to be required by law or regulation,
and any other requirements in the actual award documents.

\(d\) Only those services expressly authorized by this section are

allowable under this section.

\_\_\_.210 Reporting.

No reporting is required with respect to payments of reasonable
compensation made to regularly employed officers or employees of a
person.

**Subpart C ‑ Activities by Other than own Employees**

\_\_\_.300 Professional and technical services.

\(a\) The prohibition on the use of appropriated funds, in \_.100 (a),
does not apply in the case of any reasonable payment to a person, other
than an officer or employee of a person requesting or receiving a
covered Federal action, if the payment is for professional or technical
services rendered directly in the preparation, submission, or
negotiation of any bid, proposal, or application for that Federal
contract, grant, loan, or cooperative agreement or for meeting
requirements imposed by or pursuant to law as a condition for receiving
that Federal contract, grant, loan, or cooperative agreement.

\(b\) The reporting requirements in \_\_\_.110 (a) and (b) regarding
filing a disclosure form by each person, if required, shall not apply
with respect to professional or technical services rendered directly in
the preparation, submission, or negotiation of any commitment providing
for the United States to insure or guarantee a loan.

\(c\) For purposes of paragraph (a) of this section \"professional and
technical services\" shall be limited to advice and analysis directly
applying any professional or technical discipline. For example, drafting
of a legal document accompanying a bid or proposal by a lawyer is
allowable. Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment rendered
directly in the negotiation of a contract is allowable. However,
communications with the intent to influence made by a professional (such
as a licensed lawyer) or a technical person (such as a licensed
accountant) are not allowable under this section unless they provide
advice and analysis directly applying their professional or technical
expertise and unless the advice or analysis is rendered directly and
solely in the preparation, submission or negotiation of a covered
Federal action. Thus, for example, communications with the intent to
influence made by a lawyer that do not provide legal advice or analysis
directly and solely related to the legal aspects of his or her client\'s
proposal, but generally advocate one proposal over another are not
allowable under this section because the lawyer is not providing
professional legal services. Similarly, communications with the intent
to influence made by an engineer providing an engineering analysis prior
to the preparation or submission of a bid or proposal are not allowable
under this section since the engineer is providing technical services
but not directly in the preparation, submission or negotiation of a
covered Federal action.

\(d\) Requirements imposed by or pursuant to law as a condition for
receiving a covered Federal award include those required by law or
regulation, or reasonably expected to be required by law or regulation,
and any other requirements in the actual award documents.

\(e\) Persons other than officers or employees of a person requesting or
receiving a covered Federal action include consultants and trade
associations.

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

**Subpart D ‑ Penalties and Enforcement**

\_\_\_.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 amended 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 failure.

\(c\) 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 paragraph (a) and (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.

\_\_\_ .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
requirement herein.

\_\_\_ .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.