Certification and Disclosure (29 CFR 93.110)

erowe on DSK1DXX6B1PROD with CFR

§ 93.110

29 CFR Subtitle A (7–1–09 Edition)

(k) Officer or employee of an agency includes the following individuals who
are employed by an agency:
(1) An individual who is appointed to
a position in the Government under
title 5, U.S.C., including a position
under a temporary appointment;
(2) A member of the uniformed services as defined in section 101(3), title 37,
U.S.C.;
(3) A special Government employee
as defined in section 202, title 18,
U.S.C.; and,
(4) An individual who is a member of
a Federal advisory committee, as defined by the Federal Advisory Committee Act, title 5, U.S.C. appendix 2.
(l) 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.
(m) 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.
(n) Reasonable payment means, with
respect to perfessional and other technical services, a payment in an amount
that is consistent with the amount normally paid for such services in the private sector.
(o) Recipient includes all contractors,
subcontractors at any tier, and subgrantees at any tier of the recipient of
funds received in connection with a
Federal contract, grant, loan, or cooperative agreement. The term excludes
an Indian tribe, tribal organization, or
any other Indian organization with respect to expenditures specifically permitted by other Federal law.
(p) Regularly employed means, with
respect to an officer or employee of a
person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or a commitment providing for the United States to insure

or guarantee a loan, an officer or employee who is employed by such person
for at least 130 working days within
one year immediately preceding the
date of the submission that initiates
agency consideration of such person for
receipt of such contract, grant, loan,
cooperative agreement, loan insurance
commitment, or loan guarantee commitment. An officer or employee who is
employed by such person for less than
130 working days within one year immediately preceding the date of the
submission that initiates agency consideration of such person shall be considered to be regularly employed as
soon as he or she is employed by such
person for 130 working days.
(q) State 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.
§ 93.110

Certification and disclosure.

(a) Each person shall file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such
person for:
(1) Award of a Federal contract,
grant, or cooperative agreement exceeding $100,000; or
(2) An award of a Federal loan or a
commitment providing for the United
States to insure or guarantee a loan
exceeding $150,000.
(b) Each person shall file a certification, and a disclosure form, if required, upon receipt by such person of:
(1) A Federal contract, grant, or cooperative agreement exceeding $100,000;
or
(2) A Federal loan or a commitment
providing for the United States to insure or guarantee a loan exceeding
$150,000,
Unless such person previously filed a
certification, and a disclosure form, if
required, under paragraph (a) of this
section.
(c) Each person shall file a disclosure
form at the end of each calendar quarter in which there occurs any event

514

VerDate Nov<24>2008

15:04 Jul 27, 2009

Jkt 217109

PO 00000

Frm 00524

Fmt 8010

Sfmt 8010

Y:\SGML\217109.XXX

217109

erowe on DSK1DXX6B1PROD with CFR

Office of the Secretary of Labor

§ 93.200

that requires disclosure or that materially affects the accuracy of the information contained in any disclosure
form previously filed by such person
under paragraphs (a) or (b) of this section. An event that materially affects
the accuracy of the information reported includes:
(1) A cumulative increase of $25,000 or
more in the amount paid or expected to
be paid for influencing or attempting
to influence a covered Federal action;
or
(2) A change in the person(s) or individual(s) influencing or attempting to
influence a covered Federal action; or,
(3) A change in the officer(s), employee(s), or Member(s) contacted to
influence or attempt to influence a
covered Federal action.
(d) Any person who requests or receives from a person referred to in
paragraphs (a) or (b) of this section:
(1) A subcontract exceeding $100,000
at any tier under a Federal contract;
(2) A subgrant, contract, or subcontract exceeding $100,000 at any tier
under a Federal grant;
(3) A contract or subcontract exceeding $100,000 at any tier under a Federal
loan exceeding $150,000; or,
(4) A contract or subcontract exceeding $100,000 at any tier under a Federal
cooperative agreement,
Shall file a certification, and a disclosure form, if required, to the next tier
above.
(e) All disclosure forms, but not certifications, shall be forwarded from
tier to tier until received by the person
referred to in paragraphs (a) or (b) of
this section. That person shall forward
all disclosure forms to the agency.
(f) Any certification or disclosure
form filed under paragraph (e) 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 representation shall be borne solely by the tier
filing that representation and shall not
be shared by any tier to which the erroneous representation is forwarded.
Submitting an erroneous certification
or disclosure constitutes a failure to
file the required certification or disclosure, respectively. If a person fails to
file a required certification or disclosure, the United States may pursue all

available remedies, including those authorized by section 1352, title 31, U.S.C.
(g) For awards and commitments in
process prior to December 23, 1989, but
not made before that date, certifications shall be required at award or
commitment, covering activities occurring between December 23, 1989, and
the date of award or commitment.
However, for awards and commitments
in process prior to the December 23,
1989 effective date of these provisions,
but not made before December 23, 1989,
disclosure forms shall not be required
at time of award or commitment but
shall be filed within 30 days.
(h) No reporting is required for an activity paid for with appropriated funds
if that activity is allowable under either subpart B or C.

Subpart B—Activities by Own
Employees
§ 93.200

Agency and legislative liaison.

(a) The prohibition on the use of appropriated funds, in § 93.100 (a), does
not apply in the case of a payment of
reasonable compensation made to an
officer or employee of a person requesting or receiving a Federal contract,
grant, loan, or cooperative agreement
if the payment is for agency and legislative liaison activities not directly related to a covered Federal action.
(b) For purposes of paragraph (a) of
this section, providing any information
specifically requested by an agency or
Congress is allowable at any time.
(c) For purposes of paragraph (a) of
this section, the following agency and
legislative liaison activities are allowable at any time only where they are
not related to a specific solicitation for
any covered Federal action:
(1) Discussing with an agency (including individual demonstrations) the
qualities and characteristics of the person’s products or services, conditions
or terms of sale, and service capabilities; and,
(2) Technical discussions and other
activities regarding the application or
adaptation of the person’s products or
services for an agency’s use.
(d) For purposes of paragraph (a) of
this section, the following agencies and

515

VerDate Nov<24>2008

15:04 Jul 27, 2009

Jkt 217109

PO 00000

Frm 00525

Fmt 8010

Sfmt 8010

Y:\SGML\217109.XXX

217109