EFFECTIVE DATE: November 30, 2021
ISSUE #: 3
PRESIDENT: Dr. Loren J. Blanchard
PURPOSE
This PS outlines the regulations which prohibit lobbying for the award of a specific grant or
contract while receiving federal funds or traveling on federal grant/contract funds. Also, this
policy describes the reporting requirements if the lobbying is done while using non-federal
funds.
DEFINITIONS
2.1 Covered Federal Action is defined as any of the following Federal actions: the awarding
of any federal contract; the making of any federal grant; the making of any federal loan;
the entering into any cooperative agreement; and the extension, continuation, renewal,
amendment ormodification of any Federal contract, grant, loan or cooperative agreement.
POLICY
3.1 Section 1352, Title 31, U.S. Code prohibits recipients of federal funds, whether
contracts, grants or cooperative agreements, from using those funds for lobbying
to obtain, extend or modify a federal award.
3.1.1 Federal funds may not be used by University of Houston - Downtown faculty,
research staff, or administrative staff to influence or attempt to influence any
member of the Executive or Legislative branches of government, including any
agency employee, for the purpose of securing a grant, contract, cooperative
agreement, or an extension, renewal or modification of the foregoing.
3.1.2 Charging travel expensesto a federal award or drawing salary from a federal award
while attempting to influence the awarding of federal funds for a specific program
is prohibited. These expenditures may not be made by University employees for
themselves or for hiring paid lobbyists to do so on the University’s behalf.
3.2 The following agency and legislative liaison activities are allowable only if conducted
prior to formal solicitation of a Federal grant, contract, cooperative agreement, or
an extension, continuation, renewal, amendment or modification of the foregoing and
for the purposes outlined below:
3.2.1 Providing any information not specifically requested but necessary for
an agency to make an informed decision about initiation of a covered
Federal action; and
3.2.2 Technical discussions regarding the preparation of an unsolicited proposal prior to
its official submission.
3.3 This regulation defines regular employees as those individuals who have been employed
by the University a minimum of 130 days in the previous 12 months. These employees
are allowed more freedom in discussing research activities with agencies. Principal
investigators, faculty, researchers and administrators must be cognizant of the “130-day
rule” before approaching any agency.
3.4 The following agency and legislative liaison activities are allowable at any time:
3.4.1 Discussing with an agency, including individual demonstrations, the qualities and
characteristics of the University’s products or services, conditions or terms of sale,
and service capabilities; and
3.4.2 Technical discussions and other activities regarding the application or adaptation
of the University’s products or services for an agency’s use.
3.5 Under no circumstances shall these liaison activities be associated with or directly related
to the solicitation of a covered Federal action.
3.6 Recipients of federal funds using non-federal funds for lobbying purposes must report
these activities to the awarding agency. A Standard Form-LLL Disclosure Form to Report Lobbying must be completed in detail by the principal investigator and submitted to the
Associate Vice President for Faculty, Research, and Sponsored Programs (AVP-ORSP)
for reporting to the federal government.
3.7 Payments for professional or technical services rendered directly in the preparation,
submission or negotiation of any bid, proposal or application for federal grants, contracts,
loans or cooperative agreements are allowable provided these services are limited to
advice and analysis directly applying to the professional or technical discipline. However,
communications with the intent to influence by a professional or technical person is
strictly prohibited.
3.8 In all instances where UHD is asked to certify that the institution does not engage in
lobbying activities at the time of proposal submission or prior to receiving the award,
individuals aware of facts that make this certification inaccurate must notify ORSP
immediately
PROCEDURES
4.1 If the proposed award exceeds $100,000, the AVP-ORSP must file a certification for the
University indicating the institution will abide by the above regulations, at the time of
proposal submission.
4.2 If lobbying for the particular project proposal has occurred using non-federal forms, the
Disclosure of Lobbying Activities will also be submitted. The AVP-ORSP will submit to
the Secretary of the Senate and the Clerk of the House of Representatives a semi-annual
compilation of the Disclosure reports.
4.3 Violation of the foregoing regulations may subject the University to fines of $10,000 to
$100,000 for each violation as well as other remedies the Federal government may deem
appropriate. Such penalties may include loss of the specific award and suspension or
debarment as an institution from further federal funding.
REVIEW PROCESS
Responsible Party (Reviewer): President
Review: Every three years on or before May 1
st.
Signed original on file in Employment Services and Operations.
POLICY HISTORY
Issue #1: 05/16/1994
Issue #2: 03/18/2014
REFERENCES
Disclosure Form to Report Lobbying
Title 31 USC 1352
Federal Restrictions on Lobbying for HHS
