HomeMy WebLinkAboutResolution - 3896 - Contract - TDOT - ADA Compliance Assistance, Citibus - 05_28_1992Resolution No. 3896
May 28, 1992
Item.#11
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock BE and is hereby
authorized and directed to execute for and on behalf of the City of
Lubbock an amendment to a Transportation Contract (being numbered
Contract 512-XXF-6010) to be entered into by and between the City
of Lubbock and the Texas Department of Transportation, attached
herewith, which shall be spread upon the minutes of the Council and
as spread upon the minutes of th' o it shall constitute and be
a part of this Resolution as if/fully cdvied Jiereim—An detail.
Passed by the City Council this 28ty,/r d4y o:E`,/ May-. , 1992.
ATTEST:
ra
, City Secre
APPROVED AS TO CONTENT:
4VWI
J/ aWAA-,
Larry Ho an, Director of
Tran portation
AS TO FORM:
�L,kNGSTON, MAYOR
Resolution No. 3896
May 28, 1992
it:& # 11
RECIPIENT: City of Lubbock
STATE PROJECT NO: TX92-90-0105
STATE CONTRACT NO: 512XXF6010
AMENDMENT TO CONTRACT
NO. 1
STATE OF TEXAS )(
COUNTY OF TRAVIS )(
THIS AMENDMENT TO CONTRACT made by and between the State of
Texas acting by and through the Texas Department of
Transportation hereinafter called the "State", and the City of
Lubbock hereinafter called the "Contractor".
WITNESSETH
WHEREAS, on September 19, 1991, a contract was entered into
by and between the above -mentioned parties, which contract
provided for the expenditure of funds pursuant to the provisions
of Section 9 of the Urban Mass Transportation Act of 1964, as
amended, for a public transportation project; and
WHEREIN, the State agreed to provide financial. assistance to
the Contractor in the amount of $258,555.
NOW, THEREFORE, in consideration of the mutual covenants
herein set forth, the parties hereto agree to amend the above -
mentioned contract as follows:
I. Article 3, page 2, sentence 1 is revised to read: "The
maximum amount payable under this Contract without modification
is $268,855.
II. All of the other terms, conditions and provisions of
the original contract shall remain in full force and effect.
IN TESTIMONY WHEREOF, the parties
presents to be executed.
STATE OF TEXAS
Certified as being executed
for the purpose and effect of
activating and/or carrying
out the order, established
policies or work programs
heretofore approved and
authorized by the Texas
Transportation Commission
under
the authority of Minute
Order 100591.
APPR&ED :
Director dT Public
Transportation
Date: lO 24��Z
RECOMMENDED FOR EXECUTION:
C-7"&&b-=
"--s is Enginee District 5
Title: Mayor
Date: May 28, 1992
qBoyretary, City Lubbock
Date: May 28, 1992
APPROVED ,.AS TO CONTENT:
I
arr V. Hof an
Dir for raof nsportation
City of ,Lubbock
APPROVED AS TO FORM:
I'
ENTS
I WW��i��
i-01rth Fullingim
As stant City Attorney
City of Lubbock
CONTRACTOR CERTIFICATION
Mayor David R. Langston being (1)
my sworn or under penalty of ,perjury under the laws of the
United States, certifies that, except as noted below,
City of Lubbock or any person associated ( 2 )
therewith in the capacity of owner, partner, director, officer,
principal investigator, project director, manager, auditor or any
position involving the administration of federal funds:
* is not currently under suspension, debarment, voluntary
exclusion, or determination of ineligibility by any federal
agency;
♦ has not been suspended, debarred, voluntarily excluded or
determined ineligible by any federal agency within the past
three years;
• does not have a proposed debarment pending; and
has not been indicted, convicted, or had a civil judgment
rendered against it by a court of competent jurisdiction in any
matter involving fraud or official misconduct within the past
three years.
Exceptions will not necessarily result in denial of,award, but will be
considered in determining bidder responsibility. For any exception
noted, indicate below to whom it applies, initiating agency, and dates
of action. Providing false information may result incriminal
prosecution or administrative sanctions.
EXCEPTIONS:
Mayor _
Title
May 28, 1992
Date
APPR VEDD�AlS �TO FORM: APP OVED AS TO NTENT: EST:
orth Fullingim Larry V. Hof i R nette Boyd
.sistant City Attorney Dire for of Transportation C ty Secretary -
(3)
(4)
INSTRUCTIONS FOR COMPLETETION
CONTRACTOR CERTIFICATION.
(1) Insert name of person completing the form; this person must be an
authorized official of the contractor.
(2) Insert the name of the contracting firm.
(3) Insert any exceptions.
(4) Proceed with execution.
Lower Tier Participant Debarment Certification
(Negotiated Contracts)
David R. Langston, Mayor being duly sworn
unsert name of certifying official)
or under penalty of perjury under the laws of the United States, certifies that
neither City of Lubbock nor its
IinsurL name of lower tier participant)
principals are presently:
• debarred, suspended, proposed for debarment,
• declared ineligible,
• or voluntarily excluded from participation in this transaction
by any Federal department or agency
Where the above identified lower tier participant is unable to certify to any of the
above statements in this certification, such prospective participant shall indicate
below to whom the exception applies, the initiating agency, and dates of action.
Exceptions will not necessarily result in denial of award, but will be considered in
determining contractor responsibility. Providing false information may result in
criminal prosecution or administrative sanctions.
EXCEPTIONS:
Mayor
Title
May 28, 1992
!)Nte of Ce►wicuuun
APPRO ED AS TO FORM: APP VED AS TO CONTENT:
J. ort FiMingim Larry off Ran tte Boyd
A istant City Attorney Director of Transportation Cit Secretary
Certification Information
This certification is to be used by contractors pursuant to 49 CFR 29 when any of the
following occur.
• any transaction between the contractor and a person (other than a
procurement contract for goods and services), regardless of type, under
a primary covered transaction
• any procurement contract for goods or services when the estimated cost is
$25,000 or more
• any procurement contract for goods or services between the contractor
and a person, regardless of the amount, under which the person will have
a critical influence on or substantive control over that covered trans-
action. Such persons include principal investigators and providers of
federally -required audit services.
A procurement transaction is the process of acquiring goods and services.
A nonprocurement transaction is the granting of financial assistance to entities to
assist the grantor in meeting objectives that are mutually beneficial to the grantee
and grantor.
A COPY OF THIS CERTIFICATION IS TO BE FURNISHED TO
` AUTHORIZED REPRESENTATIVES OF THE STATE OR THE U.S.
DEPARTMENT OF TRANSPORTATION UPON REQUEST.
CERTIFICATION
of
Restrictions on Lobbying
I David R. Langston, Mayor hereby certify
(name and title of grantee official)
on behalf of City of Lubbock that:
(name of grantee)
(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 loran, 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) 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, loan, or cooperative agreement, 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 is placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by section
1352, title 31, U.S. Code. Any person who fails to file the
required certification s 1 be ubject to a civil penalty of not
less than $10,000 and no more th n $1� each such
failure.
Executed this 28th day of / �Ay U . f'7�'� 5�
APPROVED AS TO FORM: By f A
ignature ' f authorz d official)
Y _ David R. Langston, Manor
J. Wor h ullingim (title of aut! Drized official)
sistant City Attorney _
APP ED AS TO NTENT: A;te
_41"Y
Larry V Hoffma RBoyd
Direct r of Transportation Cretary
03/31/92
CONTRACT BUDGET
ATTACHMENT A
CONTRACTOR: CITY OF LUBBOCK
PROJECT NUMBER: TX92-90-0105
CONTRACT NUMBER: 512XXF6010
LINE ITEM # DESCRIPTION TOTAL FEDERAL STATE LOCAL
FTA 9 TX-90-X224
OPERATING 50/25/25
OPERATING * 2,400,000 1,200,000 50% 260,855 11X 939,145 39%
----------- ----------- ----------- -----------
SUBTOTAL 2,400,000 1,200,000 260,855 939,145
* $2,300 added from FY92 CSP for Paratransit Operating Assistance.
FTA 9 TX-90-UNKNOWN
CAPITAL 90/6.5/3.5
TWO (2) EXPANSION VANS ** 130,000 117,000 90% 8,000 6% 5,000 4%
----------- ----------- -----------...........
SUBTOTAL 130,000 117,000 8,000 5,000
--------- ----------- ----------- -----------
TOTAL 2,530,000 1,317,000 268,855 944,145
** FY 92 CSP funds to be spent in FY 93
' - Federal Register / Vol. 54. No. 243 / Wednesday, Uecelnber �0, 19N / Notices 52323
DISCLOSURE OF LOBBYING ACTIMIES 014640° °"9
oiaa•oo.L
Complete this form to disdose lobbying activities pursuant to 31 U.S.C. 1351
(See reverse lot pub4c burden diviosuwe.)
1. Type of Federal Action:
L Status of Federal Action
>L Report Type:
❑a. contract
b.
i bkWevapp6utlon
❑
a. M►itial filin�►gg
❑
pant
b. Initial award
b. material mange
e. cooperative agreement
d. loan
c. Post -award
for MdAd Change Ode
C. ban guarantee
year quarter
f. ban insurance
dat e of last report
4. karne and Address of Reporting hfitr.
S. r Re'pa�o. fntkr In N4 is Subawardee, Eater Name
O Prime O Subawardee
and Iliidd of Pdmr.
Tier _ . if known:
CongressloiW District if Lww►r.
Corigresslocial District if known:
6. Federal DepsrtmeniAgency:
7. Federal hogram Nam
CFDA Number, Of applicable:
S. Federal Action Number, if known:
9. Award Amount, if known:
.
S ,
10. a. Flame and Address of lobbying Entity d Individuals Pertornlim Service$ (mcluday address of
(if individual, last name, hest name, Mlk different from No. 10a7
(last name, list none. MD:
attad� CCnf�nuahon SAMI s Sr•LLl• NM[P7aa �
11. Amount of Payment lcheck ill that apply):
13. Type of Paynsent (check all that apply):
S D actual O planned
O a. retainer
O b. one-time fee
O c. commission
12. Form of Payment (check alf that apply):
O S. ash
O d. contingent fee
O b. in -kind. specify: n tute
O t. deferred
O f. other, specify:
slue
14. Brief Description of Services Performed at to be Performed and Dale(s) of Service, including officered employeetsl
or Member(s) contacted. for Payment Indicated In Item 11:
artadh confnvafter shoeKS1 &!jA of wa[nf
it Continuation Sheet(s) SF•LU-A attached: O Yes O No
16. rAw"w a *woad Mro* 11a lam is a ghwbW by ra aI W &C
to UW 11Sr. n,. dMiWAw Of WA" a b"wo a a a"W wipsuaLm6m
of 4a atao>. ~ wwra ws PFacW by Ow Ow Mow *Kw an
Print Nanw..
1--%w M1 we wader w anwe Wft "M &Vb%" ■ t.prad /mn swA r►
I US C 13S) n,w advou an we rM wpolad to ON C&VM ON*
Talk:
rrtWO. MW .e as ..a" r. war[ -OKWOR r++ P~ .N hr. •
Lwa ev wp„wd serb.,n tam M ttM�, M a n.+ N..rp r sere rw a,w
sw1Ooc"not son rtr+n S M.000 b
Telephone No.: Date:
a.;A arch 4s4^
Fedtral Use Onir. JE
onnd 60 UKal aeg.ab.cuw
Lwd Pom . LU
52324 federal t2Oster J Vol. 54. No. 243 J Wednesday, December 20. 1989 j Notices
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disJosure form shaft be completed by the reporting entity, whether subawardee of prime Federal ►ecipient, at the
initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 3! U.S.C.
section 1352. The filing of a form is required for each payment or a6reement to make payment to any lobbying entity for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the
SF-j LL-A Continuation Sheet for additional Information If the space on the form is Inadequate. Complete all items that
apply for both the Initial filing and material change report. Refer to the implementing guidance published by the Office of
Management and Budget for additional Information.
1. Identify the type of covered Federal action for which lobbying activity is atedror 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 h a foflowup 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.
S. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, cjt}, state and
zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency snaking 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 (RFF) 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., "RFF-DE-10-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the
Federal amount of the awardloan commitment for the prime entity identified in item 4 or S.
10. (a)Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity
Identified in item 4 to influence the covered Federal action.
(b)Enter the full names of the individuals) performing services, and include full, address if different from 10 (a).
Enter Last game, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the
lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check
all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned
to be made.
12. Check the appropriate box(es). Check all boxes that apply, if payment Is made through an in -kind contribution,
specify the nature and value of the in -kind payment.
13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to
perform, and the date($) of any services rendered. Include all preparatory and related activity, not just time spent in
actual contact with Federal officials. Identify the Federal offica(s) or employees) contacted or the officer($),
tmployee(s), or Member(s) of Congress the were contacted.
1S. Check whether or not a SF4.LL-A Continwtlon Sheet(s) is attached
16. The certifying official shall sign and date the form„ print hMw name, tide, and teleptwne number.
Public reporting Widen for this collection of irdorw"M K estimated to avenge 30 rnintues per response. including time for reviewing
instructionm searching esnnn6 data sources, gathering and matntawsing the data needed, and completing and revuwirig the collection of
inforrrut*n. Send comments regarding the burden estimate or any other aspect of Ws collection ol information, cKluding suggestions
for reducing this burden, to the Me of Management and budget Paperwor! Ite lucton Protect (034b-0046), waahwVon. D C. 20503
52326' Federal RiOster / Vol. S4, No. 2431 Wednesday, December 20, 1989 / Notices'
Appendix C to Part Contract Clause'
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, renewals amendZent, or
ncdif ication 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 tearing
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 371 U.S. Code;
(3) A special Government employee as defined in section
202, title 18, U.S. Code; and,
21
redera! Register / Vol. 54. No. 243 J Wednesdey.,Detembcr .20. 19d9 I Notices 52325
DISCLOSURE OF LOBBYING ACTIVITIES
o�•aon.s
CONTINUATION SHEET
Aw&wine i« L" two"
96MOWL" F" • L"
federal Register 1ol. M.'No. 241I ltieanesdey, Decemuer 2u, IM9 / Notices 52327
(4) An individual who is
committee, as defined by the
title 5, U.S. Code appendix
a member of a Federal advisory
'Federal Advisory..Committee Act,
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 termexcludes 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 professibnal and
other technical services, a payment in in 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.
uRegularly 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,, D.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
22
52328 Fedetal Register / Val. $4. No`Z43 / *ednesday. December 20, 190 J Notices
any person for influencing or attempting to influence an officer
or employee of any agency, a Heiaber 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'lisison by Own Employees.
(A) The prohibition on the use of appropriated
funds, in 'paragrap*)(1) of this 'section, does not apply in the
case of a payment or 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:
1 (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 capabilit4es= and,
I (Ai) 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 motion:
Z ( ) Providing any information not.
specifically requested but necessary for an agency to make an
informed decision a initiation of a covered Federal actions
i) Technical discussions regarding the
preparation of an unsolicited proposal prior to its official
submission; and, •
3 (37ii} 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.
23
Federal Register / Vol, S4.'No. 243 / Wednesday. Uecembe420. 1989 / Notices =329
(E) Only those activities expressly authorised by
paragrapiA(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&(i) of this section, does not apply in the
case of a payment or 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. lb)C)
� Gt
0) 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 pieco 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.
24
S2330 Federat Re&' ff ► Vol. 54. No_243 J Wednesday. December 20, 1969 J 90tices
,(bx2) (D) Only those services expressly authorized by
paragraph �(ii) of this section are allowable under paragraph (b)Cz)
(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 paragraphic i) 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)(s) Ci O
(8) For purposes of paragraphs (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 clientIs
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 submissim 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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Federal Register / Vol.;54. No. 243 J Wednesday,becembcr 20. 1949 J Notices 92331
(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
paragra.p p (iv) of this section are allowable under paragraphlb)(L-)
(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 filewith 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 arjy event that
requires disclosure or that materially affects the accuracy of
the information contained in an disclosure form previously filed
by such person under paragrapb(cX2) 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 irr the person(s), or individual(s)
influencing or attempting to influence a covered Federal action;
or,
(iii) A change in the officer(s), employee(&), 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(t)(1) of this section a subcontract
exceeding $100,000 at any tier under a Federal contract shall
file a certification, IIDA a disclosure form, if required, to the
next tier above.
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1,2332 1Fedcial'M!Xistcr / V61. 54 No. 243 / Wednesday, Decemher 20. 1989 J Notices
(5) All disclosure forms, but not certifications, shall be
forwarded from tier to tier until received by the person referred
to in paragraphCL) i) 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 9,'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)
MR Dac. 89-29722 F11td 12-14-a9: ]tOS pm)
94im cocc s1+041-C
27