DOT 49 CFR PART 20-2010 NEW RESTRICTIONS ON LOBBYING.pdf

1、177 Office of the Secretary of Transportation Pt. 20 U.S.C. 276a to a(7) and as supplemented by Department of Labor regulations (29 CFR part 5, Labor Standards Provisions Applica-ble to Contracts Governing Federally Fi-nanced and Assisted Construction). Under this Act, contractors shall be required

2、to pay wages to laborers and mechanics at a rate not less than the minimum wages specified in a wage determination made by the Sec-retary of Labor. In addition, contractors shall be required to pay wages not less than once a week. The recipient shall place a copy of the current prevailing wage deter

3、mination issued by the Department of Labor in each solicitation and the award of a contract shall be conditioned upon the acceptance of the wage determination. The recipient shall re-port all suspected or reported violations to the Federal awarding agency. 4. Contract Work Hours and Safety Standards

4、 Act (40 U.S.C. 327333)Where applicable, all contracts awarded by recipients in excess of $2,000 for construction contracts and in ex-cess of $2,500 for other contracts that involve the employment of mechanics or laborers shall include a provision for compliance with sections 102 and 107 of the Cont

5、ract Work Hours and Safety Standards Act (40 U.S.C. 327333), as supplemented by Department of Labor regulations (29 CFR part 5). Under sec-tion 102 of the Act, each contractor shall be required to compute the wages of every me-chanic and laborer on the basis of a standard work week of 40 hours. Work

6、 in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than 112 times the basic rate of pay for all hours worked in excess of 40 hours in the work week. Section 107 of the Act is ap-plicable to construction work and provides that no laborer

7、or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or mate-rials or articles ordinarily available on the open market, or contracts for transportation or transmiss

8、ion of intelligence. 5. Rights to Inventions Made Under a Con-tract or AgreementContracts or agreements for the performance of experimental, devel-opmental, or research work shall provide for the rights of the Federal Government and the recipient in any resulting invention in accordance with 37 CFR

9、part 401, Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Govern-ment Grants, Contracts and Cooperative Agreements, and any implementing regula-tions issued by the awarding agency. 6. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control A

10、ct (33 U.S.C. 1251 et seq.), as amendedContracts and subgrants of amounts in excess of $100,000 shall contain a provision that re-quires the recipient to agree to comply with all applicable standards, orders or regula-tions issued pursuant to the Clean Air Act (42 U.S.C. 7401 et seq.) and the Federa

11、l Water Pollution Control Act as amended (33 U.S.C. 1251 et seq.). Violations shall be reported to the Federal awarding agency and the Re-gional Office of the Environmental Protec-tion Agency (EPA). 7. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)Contractors who apply or bid for an award of $100,000

12、 or more shall file the cer-tification required by 49 CFR part 20, New Restrictions on Lobbying. Each tier cer-tifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influ-encing or attempting to influence an officer or employee of

13、 any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in con-nection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal funds that takes place in con

14、nection with obtaining any Fed-eral award. Such disclosures are forwarded from tier to tier up to the recipient. 8. Debarment and Suspension (E.O.s 12549 and 12689)No contract shall be made to par-ties listed on the General Services Adminis-trations List of Parties Excluded from Fed-eral Procurement

15、 or Nonprocurement Pro-grams in accordance with E.O.s 12549 and 12689, Debarment and Suspension and 49 CFR part 29. This list contains the names of parties debarred, suspended, or otherwise ex-cluded by agencies, and contractors declared ineligible under statutory or regulatory au-thority other than

16、 E.O. 12549. Contractors with awards that exceed the small purchase threshold shall provide the required certifi-cation regarding its exclusion status and that of its principal employees. PART 20NEW RESTRICTIONS ON LOBBYING Subpart AGeneral Sec. 20.100 Conditions on use of funds. 20.105 Definitions.

17、 20.110 Certification and disclosure. Subpart BActivities by Own Employees 20.200 Agency and legislative liaison. 20.205 Professional and technical services. 20.210 Reporting. Subpart CActivities by Other Than Own Employees 20.300 Professional and technical services. Subpart DPenalties and Enforceme

18、nt 20.400 Penalties. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00187 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-178 49 CFR Subtitle A (10110 Edition) 20

19、.100 20.405 Penalty procedures. 20.410 Enforcement. Subpart EExemptions 20.500 Secretary of Defense. Subpart FAgency Reports 20.600 Semi-annual compilation. 20.605 Inspector General report. APPENDIX A TO PART 20CERTIFICATION RE-GARDING LOBBYING APPENDIX B TO PART 20DISCLOSURE FORM TO REPORT LOBBYING

20、 AUTHORITY: Sec. 319, Public Law 101121 (31 U.S.C. 1352); 49 U.S.C. 322(a). CROSS REFERENCE: See also Office of Man-agement and Budget notice published at 54 FR 52306, December 20, 1989. SOURCE: 55 FR 6737, 6756, Feb. 26, 1990, un-less otherwise noted. Subpart AGeneral 20.100 Conditions on use of fu

21、nds. (a) No appropriated funds may be ex-pended by the recipient of a Federal contract, grant, loan, or cooperative ageement to pay any person for influ-encing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or em-ployee of Congress, or an employee o

22、f 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, continu-ation, renewal, amendment, or modi

23、-fication of any Federal contract, grant, loan, or cooperative agreement. (b) Each person who requests or re-ceives from an agency a Federal con-tract, 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 n

24、ot make, any payment prohibited by paragraph (a) of this section. (c) Each person who requests or re-ceives from an agency a Federal con-tract, 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 mak

25、e any payment using nonappropriated funds (to include prof-its from any covered Federal action), which would be prohibited under para-graph (a) of this section if paid for with appropriated funds. (d) Each person who requests or re-ceives from an agency a commitment providing for the United States t

26、o in-sure 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 pay-ment to influence or attempt to influ-ence an officer or employee of any agency, a Member of Congress, an offi-cer or employee of Congress, or an

27、 em-ployee of a Member of Congress in con-nection with that loan insurance or guarantee. (e) Each person who requests or re-ceives from an agency a commitment providing for the United States to in-sure or guarantee a loan shall file with that agency a disclosure form, set forth in appendix B, if tha

28、t person has made or has agreed to make any payment to influence or attempt to influence an of-ficer or employee of any agency, a Member of Congress, an officer or em-ployee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee. 20.105 Definitions. F

29、or purposes of this part: (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal executive de-partments and agencies as well as inde-pendent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1). (b) Covered Federal action means any of the following Federal actions

30、: (1) The awarding of any Federal con-tract; (2) The making of any Federal grant; (3) The making of any Federal loan; (4) The entering into of any coopera-tive agreement; and, (5) The extension, continuation, re-newal, amendment, or modification of any Federal contract, grant, loan, or cooperative a

31、greement. Covered Federal action does not in-clude receiving from an agency a com-mitment providing for the United States to insure or guarantee a loan. Loan guarantees and loan insurance are addressed independently within this part. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00188 F

32、mt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-179 Office of the Secretary of Transportation 20.105 (c) Federal contract means an acquisi-tion contract awarded by an agency,

33、including those subject to the Federal Acquisition Regulation (FAR), and any other acquisition contract for real or personal property or services not sub-ject to the FAR. (d) Federal cooperative agreement means a cooperative agreement en-tered into by an agency. (e) Federal grant means an award of f

34、inancial 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 per-son. The term does not include tech-nical assistance which provides serv-ices instead of money, or other assist-ance in the form of revenue sharing, loan

35、s, loan guarantees, loan insurance, interest subsidies, insurance, or direct United States cash assistance to an in-dividual. (f) Federal loan means a loan made by an agency. The term does not include loan guarantee or loan insurance. (g) Indian tribe and tribal organization have the meaning provide

36、d 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 influ-ence means making, with the intent to influence, any communication to or ap-pearance

37、before an officer or employee or 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 and loan insurance means an agencys guarantee or insur-ance of a loan made by a person. (j)

38、Local government means a unit of government in a State and, if char-tered, established, or otherwise recog-nized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of govern-ments, a sponsor group represent

39、ative organization, and any other instrumen-tality of a local government. (k) Officer or employee of an agency in-cludes 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

40、temporary appointment; (2) A member of the uniformed serv-ices 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 de-fined by the Federal Advis

41、ory Com-mittee Act, title 5, U.S. Code appendix 2. (l) Person means an individual, cor-poration, company, association, au-thority, firm, partnership, society, State, and local government, regard-less of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe,

42、 tribal organi-zation, or any other Indian organiza-tion with respect to expenditures spe-cifically permitted by other Federal law. (m) Reasonable compensation means, with respect to a regularly employed officer or employee of any person, com-pensation that is consistent with the normal compensation

43、 for such officer or employee for work that is not fur-nished to, not funded by, or not fur-nished in cooperation with the Federal Government. (n) Reasonable payment means, with respect to perfessional and other tech-nical services, a payment in an amount that is consistent with the amount nor-mally

44、 paid for such services in the pri-vate sector. (o) Recipient includes all contractors, subcontractors at any tier, and sub-grantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or coop-erative agreement. The term excludes an Indian tribe, tribal

45、 organization, or any other Indian organization with re-spect to expenditures specifically per-mitted by other Federal law. (p) Regularly employed means, with respect to an officer or employee of a person requesting or receiving a Fed-eral contract, grant, loan, or coopera-tive agreement or a commit

46、ment pro-viding for the United States to insure or guarantee a loan, an officer or em-ployee who is employed by such person VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00189 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo rep

47、roduction or networking permitted without license from IHS-,-,-180 49 CFR Subtitle A (10110 Edition) 20.110 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, coo

48、perative agreement, loan insurance commitment, or loan guarantee com-mitment. An officer or employee who is employed by such person for less than 130 working days within one year im-mediately preceding the date of the submission that initiates agency con-sideration of such person shall be con-sidere

49、d to be regularly employed as soon as he or she is employed by such person for 130 working days. (q) State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a terri-tory 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. 20.110 Certification and disclosure. (a) Each person shall file a certifi