HUD 24 CFR PART 87-2011 NEW RESTRICTIONS ON LOBBYING《游说的新限制》.pdf

1、516 24 CFR Subtitle A (4111 Edition) Pt. 87 (1) Making an adminstrative offset against other requests for reimburse-ments, (2) Withholding advance payments otherwise due to the grantee, or (3) Other action permitted by law. (b) Except where otherwise provided by statutes or regulations, the Federal

2、agency will charge interest on an over-due debt in accordance with the Fed-eral Claims Collection Standards (4 CFR Ch. II). The date from which inter-est is computed is not extended by liti-gation or the filing of any form of ap-peal. Subpart EEntitlement Reserved PART 87NEW RESTRICTIONS ON LOBBYING

3、 Subpart AGeneral Sec. 87.100 Conditions on use of funds. 87.105 Definitions. 87.110 Certification and disclosure. Subpart BActivities by Own Employees 87.200 Agency and legislative liaison. 87.205 Professional and technical services. 87.210 Reporting. Subpart CActivities by Other Than Own Employees

4、 87.300 Professional and technical services. Subpart DPenalties and Enforcement 87.400 Penalties. 87.405 Penalty procedures. 87.410 Enforcement. Subpart EExemptions 87.500 Secretary of Defense. Subpart FAgency Reports 87.600 Semi-annual compilation. 87.605 Inspector General report. APPENDIX A TO PAR

5、T 87CERTIFICATION RE-GARDING LOBBYING APPENDIX B TO PART 87DISCLOSURE FORM TO REPORT LOBBYING AUTHORITY: 31 U.S.C. 1352; 42 U.S.C. 3535(d). SOURCE: 55 FR 6737, 6750, Feb. 26, 1990, un-less otherwise noted. CROSS REFERENCE: See also OMB notice published at 54 FR 52306, December 20, 1989. Subpart AGen

6、eral 87.100 Conditions on use of funds. (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-p

7、loyee 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, continu

8、-ation, renewal, amendment, or modi-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

9、the person has not made, and will not 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 p

10、erson has made or has agreed to make 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 commitmen

11、t providing for the United States to 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

12、-cer or employee of Congress, or an 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 VerDate Mar2010 08:31 Apr 2

13、9, 2011 Jkt 223077 PO 00000 Frm 00526 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-517 Office of the Secretary, HUD 87.105 that agency a disclosure form, set forth in appe

14、ndix B, if that 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. 87.105

15、Definitions. For 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 F

16、ederal actions: (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

17、 cooperative agreement. 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. (c) Federal contract means an acquisi-tion contract

18、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 sub-ject to the FAR. (d) Federal cooperative agreement means a cooperative agreement en-tered into by an agency. (e) Federal gra

19、nt 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 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

20、 revenue sharing, loans, 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 ha

21、ve 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 influ-ence means making, with the intent to influence, any communicat

22、ion to or ap-pearance 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

23、made by a person. (j) 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 s

24、ponsor group representative 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, includi

25、ng a position under a 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-fine

26、d by the Federal Advisory 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 Ver

27、Date Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00527 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-518 24 CFR Subtitle A (4111 Edition) 87.110 excludes an Indian t

28、ribe, 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 compens

29、ation 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-

30、mally 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, t

31、ribal 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 c

32、ommitment pro-viding for the United States to insure or guarantee a loan, an officer or em-ployee 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 contr

33、act, grant, loan, cooperative 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 perso

34、n shall be con-sidered 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

35、 of a State, and a multi-State, regional, or interstate entity having governmental duties and powers. 87.110 Certification and disclosure. (a) Each person shall file a certifi-cation, and a disclosure form, if re-quired, with each submission that ini-tiates agency consideration of such person for: (

36、1) Award of a Federal contract, grant, or cooperative agreement ex-ceeding $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 or the single family maximum mortgage limit for affected programs, whichever is grea

37、ter. (b) Each person shall file a certifi-cation, and a disclosure form, if re-quired, upon receipt by such person of: (1) A Federal contract, grant, or co-operative agreement exceeding $100,000; or (2) A Federal loan or a commitment providing for the United States to in-sure or guarantee a loan exc

38、eeding $150,000 or the single family maximum mortgage limit for affected programs, whichever is greater. 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 calen

39、dar quar-ter in which there occurs any event that requires disclosure or that materi-ally affects the accuracy of the infor-mation contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this sec-tion. An event that materially affects the accuracy of the infor

40、mation re-ported 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 indi-vidual(s) influencing or attempting to influence a covered Federal action; o

41、r, (3) A change in the officer(s), em-ployee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action. VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00528 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for R

42、esaleNo reproduction or networking permitted without license from IHS-,-,-519 Office of the Secretary, HUD 87.200 (d) Any person who requests or re-ceives 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

43、) A subgrant, contract, or sub-contract exceeding $100,000 at any tier under a Federal grant; (3) A contract or subcontract exceed-ing $100,000 at any tier under a Federal loan exceeding $150,000; or, (4) A contract or subcontract exceed-ing $100,000 at any tier under a Federal cooperative agreement

44、, Shall file a certification, and a disclo-sure form, if required, to the next tier above. (e) All disclosure forms, but not cer-tifications, 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 disclosu

45、re forms to the agency. (f) Any certification or disclosure form filed under paragraph (e) of this section shall be treated as a material representation of fact upon which all receiving tiers shall rely. All liability arising from an erroneous representa-tion shall be borne solely by the tier filing

46、 that representation and shall not be shared by any tier to which the er-roneous representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification or disclo-sure, respectively. If a person fails to file a required certification

47、or disclo-sure, the United States may pursue all available remedies, including those au-thorized 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, certifi-cations shall be required at award or commitment, coveri

48、ng activities oc-curring 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

49、 commitment but shall be filed within 30 days. (h) No reporting is required for an ac-tivity paid for with appropriated funds if that activity is allowable under ei-ther subpart B or C. 55 FR 6737, 6750, Feb. 26, 1990, as amended at 59 FR 5321, Feb. 4, 1994 Subpart BActivities by Own Employees 87.200 Agency and legislative liaison. (a) The prohibition on the use of ap-propriated funds, in 87.100 (a), does not apply in the case of a payment of reasonable compensation