[Code of Federal Regulations]
[Title 20, Volume 2]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 20CFR438.400]

[Page 1186]
 
                      TITLE 20--EMPLOYEES' BENEFITS
 
               CHAPTER III--SOCIAL SECURITY ADMINISTRATION
 
PART 438_RESTRICTIONS ON LOBBYING--Table of Contents
 
                   Subpart D_Penalties and Enforcement
 
Sec. 438.400  Penalties.


    (a) Any person who makes an expenditure prohibited by this part is 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each prohibited expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
Appendix B to this part) to be filed or amended if required by this part 
is subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each failure.
    (c) A filing or amended filing on or after the date on which an 
administrative action for the imposition of a civil penalty is begun 
does not prevent the imposition of such civil penalty for a failure 
occurring before that date. An administrative action begins with respect 
to a failure when an investigating official determines in writing to 
begin an investigation of an allegation of such failure.
    (d) In determining whether to impose a civil penalty, and the amount 
of any such penalty, by reason of a violation by any person, SSA will 
consider the nature, circumstances, extent, and gravity of the 
violation, the effect on the ability of the person to continue in 
business, any prior violations by the person, the degree of culpability 
of the person, the ability of the person to pay the penalty, and any 
other matters that may be appropriate.
    (e) First offenders under paragraphs (a) or (b) of this section are 
subject to a civil penalty of $10,000, absent aggravating circumstances. 
Second and subsequent offenses by persons are subject to an appropriate 
civil penalty between $10,000 and $100,000, as determined by the 
Commissioner or his or her designee.
    (f) Imposition of a civil penalty under this section does not 
prevent the United States from seeking any other remedy that may apply 
to the same conduct that is the basis for the imposition of the civil 
penalty.