8022.1

Appendix 12b

OMB Approval No. 0348-0040

ASSURANCES - NON-CONSTRUCTION PROGRAMS

Note: Certain of these assurances may not be applicable to your project

or program. If you have questions, please contact the awarding

agency. Further, certain Federal awarding agencies may require

applicants to certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of the applicant I certify that
the

applicant:

1\. Has the legal authority to apply for Federal

assistance, and the institutional, managerial and

financial capability (including funds sufficient to

pay the non-Federal share of project costs) to

ensure proper planning, management and completion

of the project described in this application.

2\. Will give the awarding agency, the Comptroller

General of the United States, and if appropriate,

the State, through any authorized representative,

access to and the right to examine all records,

books, papers, or documents related to the award;

and will establish a proper accounting system in

accordance with generally accepted accounting

standards or agency directives.

3\. Will establish safeguards to prohibit employees

from using their positions for a purpose that

constitutes or presents the appearance of personal

or organizational conflict of interest, or personal

gain.

4\. Will initiate and complete the work within the

applicable time frame after receipt of approval of

the awarding agency.

5\. Will comply with the Intergovernmental

Personnel Act of 1970 (42 U.S.C. 4728-4763)

relating to prescribed standards for merit systems

for programs funded under one of the nineteen

statutes or regulations specified in Appendix A

of OPM\'s Standards for a Merit System of Personnel

Administration (5 C.F.R. 900, Subpart F).

6\. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not

limited to: (a) Title VI of the Civil Rights Act of

1964 (P.L. 88-352) which prohibits discrimination

on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as

amended (20 U.S.C. 1681-1683, and 1685-1686),

which prohibits discrimination on the basis of sex;

(c)Section 504 of the Rehabilitation Act of 1973, as

amended (29 U.S.C. 794), which prohibits

discrimination on the basis of handicaps; (d) the Age

Discrimination Act of 1975, as amended (42

U.S.C. 6101-6107), which prohibits discrimination

on the basis of age;

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(e)the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to

nondiscrimination on the basis of drug abuse; (f)

the Comprehensive Alcohol Abuse and Alcoholism

Prevention, Treatment and Rehabilitation Act of

1970 (P.L. 91-616), as amended, relating to

nondiscrimination on the basis of alcohol abuse or

alcoholism; (g) 523 and 527 of the Public Health

Service Act of 1912 (42 U.S.C. 290 dd-3 and 290

ee-3), as amended, relating to confidentiality of

alcohol and drug abuse patient records; (h) Title

VIII of the Civil Rights Act of 1968 (42 U.S.C.

3601 et seq.), as amended, relating to

nondiscrimination in the sale, rental or financing of

housing; (i) any other nondiscrimination

provisions in the specific statute(s) under which

application for Federal assistance is being made;

and (j) the requirements of any other

nondiscrimination statute(s) which may apply to

the application.

7\. Will comply, or has already complied, with the

requirements of Titles II and III of the Uniform

Relocation Assistance and Real Property

Acquisition Policies Act of 1970 (P.L. 91-646)

which provide for fair and equitable treatment of

persons displaced or whose property is acquired as

a result of Federal or federally assisted Programs.

These requirements apply to all interests in real

property acquired for project purposes regardless

of Federal participation in purchases.

8\. Will comply with the provisions of the Hatch Act

(5 U.S.C. 1501-1508 and 7324-7328) which limit

the political activities of employees whose

principal employment activities are funded in

whole or in part with Federal funds.

9\. Will comply, as applicable, with the provisions of

the Davis-Bacon Act (40 U.S.C. 276a to 276a-7),

the Copeland Act (40 U.S.C. 276c and 18

U.S.C. 874), and the Contract Work Hours and

Safety Standards Act (40 U.S.C. 327-333),

regarding labor standards for federally assisted

construction subagreements.

Standard Form 424B (4-88)

Prescribed by OMB Circular A-102

Authorized for Local Reproduction

6/90

12b-1

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12b

10\. Will comply, if applicable with flood insurance

purchase requirements of Section 102(a) of the

Flood Disaster Protection Act of 1973 (P.L. 93-234)

which requires recipients in a special flood hazard

area to participate in the program and to purchase

flood insurance if the total cost of insurable

construction and acquisition is \$10,000 or more.

11\. Will comply with environmental standards which

may be prescribed pursuant to the following: (a)

institution of environmental quality control

measures under the National Environmental

Policy Act of 1969 (P.L. 91-190) and Executive

Order (EO) 11514; (b) notification of violating

facilities pursuant to EO 11738; (c) protection of

wetlands pursuant to EO 11990; (d) evaluation of

flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with

the approved State management program

developed under the Coastal Zone Management

Act of 1972 (16 U.S.C. 1451 et seq.); (f)

conformity of Federal actions to State (Clear Air)

Implementation Plans under Section 176(c) of the

Clear Air Act of 1955, as amended (42 U.S.C.

7401 et seq.); (g) protection of underground sources

of drinking water under the Safe Drinking Water

Act of 1974, as amended, (P.L. 93-523); and (h)

protection of endangered species under the

Endangered Species Act of 1973, as amended, (P.L.

93-205).

12\. Will comply with the Wild and Scenic Rivers Act

of 1968 (16 U.S.C. 1271 et seq.) related to

protecting components or potential components of

the national wild and scenic rivers system.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

13\. Will assist the awarding agency in assuring

compliance with Section 106 of the National

Historic Preservation Act of 1966, as amended (16

U.S.C. 470), EO 11593 (identification and

protection of historic properties), and the

Archaeological and Historic Preservation Act of

1974 (16 U.S.C. 469a-1 et seq.).

14\. Will comply with P.L. 93-348 regarding the

protection of human subjects involved in research,

development, and related activities supported by

this award of assistance.

15\. Will comply with the Laboratory Animal Welfare

Act of 1966 (P.L. 89-544, as amended, 7 U.S.C.

2131 et seq.) pertaining to the care, handling, and

treatment of warm blooded animals held for

research, teaching, or other activities supported by

this award of assistance.

16\. Will comply with the Lead-Based Paint Poisoning

Prevention Act (42 U.S.C. 4801 et seq.) which

prohibits the use of lead based paint in

construction or rehabilitation of residence

structures.

17\. Will cause to be performed the required financial

and compliance audits in accordance with the

Single Audit Act of 1984.

18\. Will comply with all applicable requirements of all

other Federal laws, executive orders, regulations

and policies governing this program.

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPLICANT ORGANIZATION DATE SUBMITTED

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6/90 SF 424B (4-88 Back

12b-2

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

ATTACHMENT C

OMB STANDARD ASSURANCES - SF 424B

Drug Free Certification

12c-1 6/90

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8022.1

Appendix 12c

ATTACHMENT C

OMB Approval No. 0348-0040

ASSURANCES - NON-CONSTRUCTION PROGRAMS

Note: Certain of these assurances may not be applicable to your project

or program. If you have questions, please contact the awarding

agency. Further, certain Federal awarding agencies may require

applicants to certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of the applicant I certify that
the

applicant:

1\. Has the legal authority to apply for Federal

assistance, and the institutional, managerial and

financial capability (including funds sufficient to

pay the non-Federal share of project costs) to

ensure proper planning, management and completion

of the project described in this application.

2\. Will give the awarding agency, the Comptroller

General of the United States, and if appropriate,

the State, through any authorized representative,

access to and the right to examine all records,

books, papers, or documents related to the award;

and will establish a proper accounting system in

accordance with generally accepted accounting

standards or agency directives.

3\. Will establish safeguards to prohibit employees

from using their positions for a purpose that

constitutes or presents the appearance of personal

or organizational conflict of interest, or personal

gain.

4\. Will initiate and complete the work within the

applicable time frame after receipt of approval of

the awarding agency.

5\. Will comply with the Intergovernmental

Personnel Act of 1970 (42 U.S.C. 4728-4763)

relating to prescribed standards for merit systems

for programs funded under one of the nineteen

statutes or regulations specified in Appendix A

of OPM\'s Standards for a Merit System of Personnel

Administration (5 C.F.R. 900, Subpart F).

6\. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not

limited to: (a) Title VI of the Civil Rights Act of

1964 (P.L. 88-352) which prohibits discrimination

on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as

amended (20 U.S.C. 1681-1683, and 1685-1686),

which prohibits discrimination on the basis of sex;

(c)Section 504 of the Rehabilitation Act of 1973, as

amended (29 U.S.C. 794), which prohibits

discrimination on the basis of handicaps; (d) the Age

Discrimination Act of 1975, as amended (42

U.S.C. 6101-6107), which prohibits discrimination

on the basis of age;

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(e)the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to

nondiscrimination on the basis of drug abuse; (f)

the Comprehensive Alcohol Abuse and Alcoholism

Prevention, Treatment and Rehabilitation Act of

1970 (P.L. 91-616), as amended, relating to

nondiscrimination on the basis of alcohol abuse or

alcoholism; (g) 523 and 527 of the Public Health

Service Act of 1912 (42 U.S.C. 290 dd-3 and 290

ee-3), as amended, relating to confidentiality of

alcohol and drug abuse patient records; (h) Title

VIII of the Civil Rights Act of 1968 (42 U.S.C.

3601 et seq.), as amended, relating to

nondiscrimination in the sale, rental or financing of

housing; (i) any other nondiscrimination

provisions in the specific statute(s) under which

application for Federal assistance is being made;

and (j) the requirements of any other

nondiscrimination statute(s) which may apply to

the application.

7\. Will comply, or has already complied, with the

requirements of Titles II and III of the Uniform

Relocation Assistance and Real Property

Acquisition Policies Act of 1970 (P.L. 91-646)

which provide for fair and equitable treatment of

persons displaced or whose property is acquired as

a result of Federal or federally assisted Programs.

These requirements apply to all interests in real

property acquired for project purposes regardless

of Federal participation in purchases.

8\. Will comply with the provisions of the Hatch Act

(5 U.S.C. 1501-1508 and 7324-7328) which limit

the political activities of employees whose

principal employment activities are funded in

whole or in part with Federal funds.

9\. Will comply, as applicable, with the provisions of

the Davis-Bacon Act (40 U.S.C. 276a to 276a-7),

the Copeland Act (40 U.S.C. 276c and 18

U.S.C. 874), and the Contract Work Hours and

Safety Standards Act (40 U.S.C. 327-333),

regarding labor standards for federally assisted

construction subagreements.

Standard Form 424B (4-88)

Prescribed by OMB Circular A-102

Authorized for Local Reproduction

6/90 12c-2

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

10\. Will comply, if applicable with flood insurance

purchase requirements of Section 102(a) of the

Flood Disaster Protection Act of 1973 (P.L. 93-234)

which requires recipients in a special flood hazard

area to participate in the program and to purchase

flood insurance if the total cost of insurable

construction and acquisition is \$10,000 or more.

11\. Will comply with environmental standards which

may be prescribed pursuant to the following: (a)

institution of environmental quality control

measures under the National Environmental

Policy Act of 1969 (P.L. 91-190) and Executive

Order (EO) 11514; (b) notification of violating

facilities pursuant to EO 11738; (c) protection of

wetlands pursuant to EO 11990; (d) evaluation of

flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with

the approved State management program

developed under the Coastal Zone Management

Act of 1972 (16 U.S.C. 1451 et seq.); (f)

conformity of Federal actions to State (Clear Air)

Implementation Plans under Section 176(c) of the

Clear Air Act of 1955, as amended (42 U.S.C.

7401 et seq.); (g) protection of underground sources

of drinking water under the Safe Drinking Water

Act of 1974, as amended, (P.L. 93-523); and (h)

protection of endangered species under the

Endangered Species Act of 1973, as amended, (P.L.

93-205).

12\. Will comply with the Wild and Scenic Rivers Act

of 1968 (16 U.S.C. 1271 et seq.) related to

protecting components or potential components of

the national wild and scenic rivers system.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

13\. Will assist the awarding agency in assuring

compliance with Section 106 of the National

Historic Preservation Act of 1966, as amended (16

U.S.C. 470), EO 11593 (identification and

protection of historic properties), and the

Archaeological and Historic Preservation Act of

1974 (16 U.S.C. 469a-1 et seq.).

14\. Will comply with P.L. 93-348 regarding the

protection of human subjects involved in research,

development, and related activities supported by

this award of assistance.

15\. Will comply with the Laboratory Animal Welfare

Act of 1966 (P.L. 89-544, as amended, 7 U.S.C.

2131 et seq.) pertaining to the care, handling, and

treatment of warm blooded animals held for

research, teaching, or other activities supported by

this award of assistance.

16\. Will comply with the Lead-Based Paint Poisoning

Prevention Act (42 U.S.C. 4801 et seq.) which

prohibits the use of lead based paint in

construction or rehabilitation of residence

structures.

17\. Will cause to be performed the required financial

and compliance audits in accordance with the

Single Audit Act of 1984.

18\. Will comply with all applicable requirements of all

other Federal laws, executive orders, regulations

and policies governing this program.

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPLICANT ORGANIZATION DATE SUBMITTED

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6/90 12c-3 6/90 SF 424B (4-88 Back

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

ATTACHMENT C

CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS

1\. Instructions For Certification

a\. By submitting this application, the applicant is providing the

certification set out below.

b\. The certification set out below is a material representation of

fact upon which reliance will be placed if HUD determines to award

a grant to the applicant. If it is later determined that the

applicant knowingly rendered a false certification, or otherwise

violates the requirements of the Drug-Free Workplace Act, HUD, in

addition to any other remedies available to the Federal

Government, may take action authorized under the Drug-Free

Workplace Act.

2\. Certification Regarding Drug-Free Workplace Requirements

a\. The applicant certifies that it will provide a drug-free workplace

by:

1\. Publishing a statement notifying employees that the unlawful

manufacture, distribution, dispension, possession or use of a

controlled substance is prohibited in the grantee\'s workplace

and specifying the actions that will be taken against

employees for violation of such prohibition;

2\. Establishing a drug-free awareness program to inform employees

about:

i\. the dangers of drug abuse in the workplace;

ii\. the applicant\'s policy of maintaining a drug-free

workplace;

iii\. any available drug counseling, rehabilitation, and

employee assistance programs; and

iv\. the penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

3\. Making it a requirement that each employee to be engaged in

the performance of the grant be given a copy of the statement

required by paragraph 1;

6/90 12c-4

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

2

4\. Notifying the employee in the statement required by

paragraph 1 that, as a condition of employment under the

grant, the employee will:

i\. abide by the terms of the statement; and

ii\. notify the employer of any criminal drug statute

conviction for a violation occurring in the workplace

no later than five days after such conviction;

5\. Notifying HUD within ten days after receiving notice under

subparagraph 4 (ii) from any employee or otherwise receiving

actual notice of such conviction;

6\. Taking one of the following actions, within 30 days of

receiving notice under subparagraph 4 (ii), with respect to

any employee who is so convicted:

i\. taking appropriate personnel action against such an

employee, up to and including termination; or

ii\. requiring such employee to participate satisfactorily

in a drug abuse assistance or rehabilitation program

approved for such purposes by a Federal, State or

local health, law enforcement, or other appropriate

agency;

7\. Making a good faith effort to continue to maintain a

drug-free workplace through implementation of paragraphs

1, 2, 3, 4, 5 and 6.

b\. The applicant shall insert in the space provided below the

site(s) for the performance of work done in connection with

the specific grant:

Place of Performance (Street address, city, county, state, zip

code)

\< \>

\< \>

\< \>

\< \>

\< \>

12c-5 6/90

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

RESTRICTIONS ON LOBBYING - CERTIFICATION

By submitting this application, the applicant 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 any 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, cooperative agreement, or

loan.

\(2\) 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, cooperative

agreement, or loan, the undersigned shall complete and

submit Standard Form-LLL, \"Disclosure 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.C. 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.

6/90 12c-6

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

DISCLOSURE OF LOBBYING ACTIVITIES

CONTINUATION SHEET

Reporting
Entity:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Page\_\_\_\_of\_\_\_\_

12c-9 6/90

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12c

ATTACHMENT D

CERTIFICATION

In accordance with the Fair Housing Assistance Program regulation at

24 CFR Section 111.111(e), Certifications, I hereby make the following

certification to accompany the application for Fair Housing Assistance

Program funding.

1\. I certify that the submission of the application is authorized

under State or local law (as applicable), and that the applicant

possesses the legal authority to carry out the activities

proposed in the application.

2\. I certify that the agency meets the performance standards set

forth in 24 CFR Section 115.4.

3\. I certify that the agency will adhere to a written agreement

(Memorandum of Understanding or Interim Agreement) governing all

fair housing referral activity and complaint processing between

the agency and the appropriate HUD Regional Office.

4\. (For applicants for incentive funds only) I certify that all

budget information submitted is true and accurate and that at

least 20% of the agency\'s expenditures for fair housing

activities in the most recent fiscal year have been from

non-Federal sources.

5\. I certify that the agency will participate in HUD - sponsored

training at national and regional levels and to use the training

allotment to support the participation of at least 4 staff

persons in such training.

6\. By submitting this application, the applicant is also providing

certification that it will not use FHAP funding to support the

same activities being funded under FHIP.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of official Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name and Title

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Applicant Agency

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City, State, Zip Code

6/90 12c-10

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8022.1

Appendix 12d

NEW RESTRICTIONS ON LOBBYING

\(a\) Definitions. As used in this clause,

\"Agency\", 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).

\"Covered Federal action\" 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.

\"Indian tribe\" and \"tribal organization\" 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.

\"Influencing or attempting to influence\" 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.

\"Local government\" 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.

\"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,

12d-5 6/90

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8022.1

Appendix 12d

\(4\) An individual who is a member of a Federal advisory

committee, as defined by the Federal Advisory Committee Act,

title 5, U.S. Code appendix 2.

\"Person\" 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.

\"Reasonable compensation\" 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.

\"Reasonable payment\" 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.

\"Recipient\" includes all contractors and subcontractors at

any tier in connection with a Federal contract. The term

excludes an Indian tribe, tribal organization, or any other

Indian organization with respect to expenditures specifically

permitted by other Federal law.

\"Regularly employed\" means, with respect to an officer or

employee of a person requesting or receiving a Federal contract,

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. 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.

\"State\" 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.

\(b\) Prohibition.

\(1\) Section 1352 of title 31, U.S. Code provides in part

that no appropriated funds may be expended by the recipient of a

Federal contract, grant, loan, or cooperative agreement to pay

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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.

\(2\) The prohibition does not apply as follows:

\(i\) Agency and legislative liaison by Own Employees.

\(A\) The prohibition on the use of appropriated

funds, in paragraph (1) of this section, 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 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:

\(i\) 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,

\(ii\) Technical discussions and other

activities regarding the application or adaptation of the

person\'s products or services for an 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:

\(i\) Providing any information not

specifically requested but necessary for an agency to make an

informed decision about initiation of a covered Federal action;

\(ii\) Technical discussions regarding the

preparation of an unsolicited proposal prior to its official

submission; and,

\(iii\) 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.

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8022.1

Appendix 12d

\(E\) Only those activities expressly authorized by

paragraph (i) of this section are allowable under paragraph (i).

\(ii\) Professional and technical services by own

Employees.

\(A\) The prohibition on the use of appropriated

funds, in paragraph (1) of this section, 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 or an extension, continuation, renewal, amendment, or

modification of a Federal contract 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 or for meeting requirements imposed by

or pursuant to law as a condition for receiving that Federal

contract.

\(B\) 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 a 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.

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8022.1

Appendix 12d

\(D\) Only those services expressly authorized by

paragraph (ii) of this section are allowable under paragraph

(ii).

\(iii\) Reporting for Own Employees.

No reporting is required with respect to payments of reasonable

compensation made to regularly employed officers or employees of

a person.

\(iv\) Professional and technical services by Other than

Own Employees.

\(A\) The prohibition on the use of appropriated

funds, in paragraph (1) of this section, 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 or

for meeting requirements imposed by or pursuant to law as a

condition for receiving that Federal contract.

\(B\) 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 a covered Federal

action.

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8022.1

Appendix 12d

\(C\) 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.

\(D\) Persons other than officers or employees of

a person requesting or receiving a covered Federal action include

consultants and trade associations.

\(E\) Only those services expressly authorized by

paragraph (iv) of this section are allowable under paragraph

(iv).

\(c\) Disclosure.

\(1\) Each person who requests or receives from an agency a

Federal contract shall file with that agency a certification, set

forth in \_\_\_\_, that the person has not made, and will not make,

any payment prohibited by paragraph (b) of this clause.

\(2\) Each person who requests or receives from an agency a

Federal contract shall file with that agency a disclosure form,

Standard Form-LLL, \"Disclosure of Lobbying Activities,\" 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 (b) of

this clause if paid for with appropriated funds.

\(3\) Each person shall file a disclosure form at the end of

each calendar quarter in which there occurs any event that

requires disclosure or that materially affects the accuracy of

the information contained in any disclosure form previously filed

by such person under paragraph (2) of this section. An event

that materially affects the accuracy of the information reported

includes:

\(i\) 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

\(ii\) A change in the person(s) or individual(s)

influencing or attempting to influence a covered Federal action;

or,

\(iii\) A change in the officer(s), employee(s), or

Member(s) contacted to influence or attempt to influence a

covered Federal action.

\(4\) Any person who requests or receives from a person

referred to in paragraph (1) of this section a subcontract

exceeding \$100,000 at any tier under a Federal contract shall

file a certification, and a disclosure form, if required, to the

next tier above.

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Appendix 12d

\(5\) All disclosure forms, but not certifications, shall be

forwarded from tier to tier until received by the person referred

to in paragraph (1) of this section. That person shall forward

all disclosure forms to the agency.

\(d\) Agreement. In accepting any contract resulting from this

solicitation, the person submitting the offer agrees not to make

any payment prohibited by this clause.

\(e\) Penalties.

\(1\) Any person who makes an expenditure prohibited under

paragraph (b) of this clause shall be subject to a civil penalty

of not less than \$10,000 and not more than \$100,000 for each such

expenditure.

\(2\) Any person who fails to file or amend the disclosure

form to be filed or amended if required by this clause, shall be

subject to a civil penalty of not less than \$10,000 and not more

than \$100,000 for each such failure.

\(3\) Contractors may rely without liability on the

representations made by their subcontractors in the certification

and disclosure form.

\(f\) Cost allowability. Nothing in this clause is to be

interpreted to make allowable or reasonable any costs which would

be unallowable or unreasonable in accordance with Part 31 of the

Federal Acquisition Regulation. Conversely, costs made

specifically unallowable by the requirements in this clause will

not be made allowable under any of the provisions of Part 31 of

the Federal Acquisition Regulation.

(End of Clause)

BILLING CODE 3110-01-M

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