[Congressional Record (Bound Edition), Volume 157 (2011), Part 4]
[Senate]
[Pages 4818-4820]
[From the U.S. Government Publishing Office, www.gpo.gov]




                           TEXT OF AMENDMENTS

  SA 278. Mr. PRYOR submitted an amendment intended to be proposed by 
him to the bill S. 493, to reauthorize and improve the SBIR and STTR 
programs, and for other purposes; which was ordered to lie on the 
table; as follows:

       On page 73, after line 23, add the following:

     SEC. 209. INITIATIVE TO PUBLICIZE THE SBIR PROGRAMS AND STTR 
                   PROGRAMS TO VETERANS.

       (a) Initiative.--The Administrator, in consultation with 
     the Secretary of Veterans Affairs, shall develop an 
     initiative to use programs of the Administration in effect on 
     the date of enactment of this Act--
       (1) to publicize the SBIR programs and STTR programs of the 
     Federal agencies to veterans recently separated from service 
     in the Armed Forces; and
       (2) to encourage veterans with applicable technical skills 
     to apply for awards under the SBIR programs and STTR programs 
     of the Federal agencies.
       (b) Limitation.--Neither the Administrator nor the 
     Secretary of Veterans Affairs may hire additional employees 
     or enter into additional contracts for services to carry out 
     this section.
                                 ______
                                 
  SA 279. Mr. COBURN (for himself and Mr. Grassley) submitted an 
amendment intended to be proposed by him to the bill S. 493, to 
reauthorize and improve the SBIR and STTR programs, and for other 
purposes; which was ordered to lie on the table; as follows:

       At the appropriate place, insert the following:

     SEC. __. PROHIBITION ON USING FEDERAL ASSISTANCE TO REPAY 
                   TARP FUNDS.

       Notwithstanding any other provision of law, no person may 
     repay or refinance amounts received under the Troubled Asset 
     Relief Program established under title I of the Emergency 
     Economic Stabilization Act of 2008 (Public Law 110-343) using 
     funds received in any form under any other Federal assistance 
     program.
                                 ______
                                 
  SA 280. Mr. ROCKEFELLER submitted an amendment intended to be 
proposed by him to the bill S. 493, to reauthorize and improve the SBIR 
and STTR programs, and for other purposes, which was ordered to lie on 
the table; as follows:

       On page 83, strike lines 8 and 9 and insert the following:
       ``(v) the names and titles of the key individuals that will 
     carry out the project, the position each key individual holds 
     in the small business concern, and contact information for 
     each key individual;
       On page 85, strike lines 22 through 24 and insert the 
     following:
       program that has been--
       ``(i) convicted of a fraud-related crime involving funding 
     received under the SBIR program or STTR program; or
       ``(ii) found civilly liable for a fraud-related violation 
     involving funding received under the SBIR program or STTR 
     program.''; and
       On page 89, strike line 18 and all that follows through 
     page 90, line 10, and insert the following:
       ``(A) continue the most recent study under this section 
     relating to the issues described in subparagraphs (A), (B), 
     (C), and (E) of subsection (a)(1);
       ``(B) make recommendations with respect to the issues 
     described in subparagraphs (A), (D), and (E) of subsection 
     (a)(2); and
       On page 95, line 7, strike ``the waste,'' and all that 
     follows through ``2011'' on line 10 and insert ``waste, 
     fraud, and abuse prevention activities''.
       On page 96, line 13, strike the quotation marks and the 
     second period and insert the following:
       ``(4) Coordination with ig.--Each Federal agency shall 
     coordinate the activities funded under subparagraph (E), (F), 
     or (G) of paragraph (1) with their respective Inspectors 
     General, when appropriate, and each Federal agency that 
     allocates more than $50,000,000 to the SBIR program of the 
     Federal agency for a fiscal year may share such funding with 
     its Inspector General when the Inspector General performs 
     such activities.''.
       On page 99, strike lines 17 through 19 and insert the 
     following:
       (1) Amendments required for fraud, waste, and abuse 
     prevention.--Not later
       On page 100, strike line 1 and all that follows through 
     page 102, line 4, and insert the following:
       (2) Content of amendments.--The amendments required under 
     paragraph (1) shall include--
       (A) definitions or descriptions of fraud, waste, and abuse;
       (B) guidelines for the monitoring and oversight of 
     applicants to and recipients of awards under the SBIR program 
     or the STTR program;
       (C) a requirement that each Federal agency that 
     participates in the SBIR program or STTR program include 
     information concerning the method established by the 
     Inspector General of the Federal agency to report fraud, 
     waste, and abuse (including any telephone hotline or Web-
     based platform)--
       (i) on the website of the Federal agency; and
       (ii) in any solicitation or notice of funding opportunity 
     issued by the Federal agency for the SBIR program or the STTR 
     program;
       (D) a requirement that each applicant for funding under the 
     SBIR program or STTR program shall certify that the 
     applicant--
       (i) is a small business concern; and
       (ii) has disclosed the names of any other Federal agency to 
     which the applicant has submitted an essentially equivalent 
     work proposal, as defined under the SBIR Policy Directive and 
     the STTR Policy Directive;
       (E) a requirement that each small business concern that 
     receives funding under the SBIR program or the STTR program, 
     when requesting payment for work performed under an award 
     under the program, shall certify that the small business 
     concern--
       (i) has performed all work for which the small business 
     concern is requesting payment in accordance with the terms 
     and conditions of the award; and
       (ii) has not received payment from another Federal agency 
     for the same work; and
       (F) a requirement that, for each certification under 
     subparagraph (D) or (E), an individual who may bind the small 
     business concern acknowledge that--
       (i) the statements in the certification are true and 
     complete to the best of the knowledge of the individual; and
       (ii) the provision of false information or concealing a 
     material fact is a criminal offense under section 1001 of 
     title 18, United States Code.
       (3) Consultation.--The Administrator shall develop the 
     certifications required under subparagraph (D) and (E) of 
     paragraph (2) in cooperation with the Council of Inspectors 
     General on Integrity and Efficiency.
       (4) Amendment to inspector general act of 1978.--Section 4 
     of the Inspector General Act of 1978 (5 U.S.C. App.) is 
     amended by adding at the end the following:
       ``(e) Each Inspector General of each establishment that is 
     required to participate in the SBIR program or the STTR 
     program under section 9 of the Small Business Act (15 U.S.C. 
     638) shall cooperate to prevent fraud, waste, and abuse in 
     the SBIR program and the STTR program by--
       ``(1) establishing fraud detection indicators;
       ``(2) reviewing regulations and operating procedures of the 
     Federal agencies;
       ``(3) coordinating information sharing between the Federal 
     agencies, to the extent otherwise permitted under Federal 
     law; and
       ``(4) improving the education and training of, and outreach 
     to--
       ``(A) administrators of the SBIR program and the STTR 
     program of each Federal agency;
       ``(B) applicants to the SBIR program or the STTR program; 
     and
       ``(C) recipients of awards under the SBIR program or the 
     STTR program.''.
       On page 102, beginning on line 7, strike ``, and every 3 
     years thereafter,'' and insert ``to establish a baseline of 
     changes made to the program to fight fraud, waste, and abuse, 
     and every 3 years thereafter to evaluate the effectiveness of 
     the agency strategies,''.
       On page 103, strike lines 12 through 19 and insert the 
     following:
       (vi) the extent to which the Inspector General of each 
     Federal agency that participates in the SBIR and STTR program 
     effectively conducts investigations, audits, inspections, and 
     outreach relating to the SBIR and STTR programs of the 
     Federal agency; and
       On page 104, line 10, after ``STTR program'' insert the 
     following: ``, at least 1 Inspector

[[Page 4819]]

     General of a Federal agency with an SBIR program or an STTR 
     program,''.
       On page 107, between lines 10 and 11, insert the following:

     SEC. 316. REDUCING FRAUD, WASTE, AND ABUSE.

       Not later than 4 years after the date of enactment of this 
     Act, and every 4 years thereafter, the Comptroller General of 
     the United States shall--
       (1) conduct a study of the effectiveness of the government 
     and public databases described in section 9(k) of the Small 
     Business Act (15 U.S.C. 638(k)) in reducing vulnerabilities 
     of the SBIR program and the STTR program to fraud, waste, and 
     abuse, particularly with respect to Federal agencies funding 
     duplicative proposals and business concerns falsifying 
     information in proposals;
       (2) make recommendations with respect to the issues 
     described in paragraph (1); and
       (3) submit to the head of each agency described in section 
     108(a) of the Small Business Reauthorization Act of 2000 (15 
     U.S.C. 638 note), the Committee on Small Business and 
     Entrepreneurship of the Senate, and the Committee on Small 
     Business of the House of Representatives a report regarding 
     the study conducted under paragraph (1) and containing the 
     recommendations described in paragraph (2).
                                 ______
                                 
  SA 281. Mr. COBURN (for himself, Mr. Tester, Mr. Udall of Colorado, 
and Mr. McCain) submitted an amendment intended to be proposed by him 
to the bill S. 493, to reauthorize and improve the SBIR and STTR 
programs, and for other purposes; which was ordered to lie on the 
table; as follows:

       At the end of title V, add the following:

     SEC. __. ENDING UNEMPLOYMENT PAYMENTS TO JOBLESS MILLIONAIRES 
                   AND BILLIONAIRES.

       (a) Prohibition.--Notwithstanding any other provision of 
     law, no Federal funds may be used to make payments of 
     unemployment compensation (including such compensation under 
     the Federal-State Extended Compensation Act of 1970 and the 
     emergency unemployment compensation program under title IV of 
     the Supplemental Appropriations Act, 2008) to an individual 
     whose adjusted gross income in the preceding year was equal 
     to or greater than $1,000,000.
       (b) Compliance.--Unemployment Insurance applications shall 
     include a form or procedure for an individual applicant to 
     certify the individual's adjusted gross income was not equal 
     to or greater than $1,000,000 in the preceding year.
       (c) Audits.--The certifications required by (b) shall be 
     auditable by the U.S. Department of Labor or the U.S. 
     Government Accountability Office.
       (d) Status of Applicants.--It is the duty of the states to 
     verify the residency, employment, legal, and income status of 
     applicants for Unemployment Insurance and no federal funds 
     may be expended for purposes of determining an individual's 
     eligibility under this Act.
       (e) Effective Date.--The prohibition under subsection (a) 
     shall apply to weeks of unemployment beginning on or after 
     the date of the enactment of this Act.
                                 ______
                                 
  SA 282. Ms. COLLINS submitted an amendment intended to be proposed by 
her to the bill S. 493, to reauthorize and improve the SBIR and STTR 
programs, and for other purposes; which was ordered to lie on the 
table; as follows:

       At the end, add the following:

     SEC. 504. AGENCY GOOD GUIDANCE PRACTICES.

       (a) Definitions.--In this section--
       (1) the term ``Administrator'' means the Administrator of 
     the Office of Information and Regulatory Affairs in the 
     Office of Management and Budget;
       (2) the term ``agency'' has the same meaning as in section 
     3502(1) of title 44, United States Code;
       (3) the term ``economically significant guidance document'' 
     means a significant guidance document that may reasonably be 
     anticipated to lead to an annual effect on the economy of $ 
     100,000,000 or more or adversely affect in a material way the 
     economy or a sector of the economy, except that economically 
     significant guidance documents do not include guidance 
     documents on Federal expenditures and receipts;
       (4) the term ``disseminated''--
       (A) means prepared by an agency and distributed to the 
     public or regulated entities; and
       (B) does not include--
       (i) distribution limited to Federal Government employees;
       (ii) intra- or interagency use or sharing of Federal 
     Government information; and
       (iii) responses to requests for agency records under 
     section 552 of title 5, United States Code (commonly referred 
     to as the ``Freedom of Information Act''), section 552a of 
     title 5, United States Code, (commonly referred to as the 
     ``Privacy Act''), the Federal Advisory Committee Act (5 
     U.S.C. App.), or other similar laws;
       (5) the term ``guidance document'' means an agency 
     statement of general applicability and future effect, other 
     than a regulatory action, that sets forth a policy on a 
     statutory, regulatory or technical issue or an interpretation 
     of a statutory or regulatory issue;
       (6) the term ``regulation'' means an agency statement of 
     general applicability and future effect, which the agency 
     intends to have the force and effect of law, that is designed 
     to implement, interpret, or prescribe law or policy or to 
     describe the procedure or practice requirements of an agency;
       (7) the term ``regulatory action'' means any substantive 
     action by an agency (normally published in the Federal 
     Register) that promulgates or is expected to lead to the 
     promulgation of a final regulation, including notices of 
     inquiry, advance notices of proposed rulemaking, and notices 
     of proposed rulemaking; and
       (8) the term ``significant guidance document''--
       (A) means a guidance document disseminated to regulated 
     entities or the general public that may reasonably be 
     anticipated to--
       (i) lead to an annual effect on the economy of $ 
     100,000,000 or more or affect in a material way the economy, 
     a sector of the economy, productivity, competition, jobs, the 
     environment, public health or safety, or State, local, or 
     tribal governments or communities;
       (ii) create a serious inconsistency or otherwise interfere 
     with an action taken or planned by another agency;
       (iii) materially alter the budgetary impact of 
     entitlements, grants, user fees, or loan programs or the 
     rights and obligations of recipients thereof; or
       (iv) raise novel legal or policy issues arising out of 
     legal mandates and the priorities, principles, and provisions 
     of this section; and
       (B) does not include--
       (i) legal advisory opinions for internal Executive Branch 
     use and not for release (such as Department of Justice Office 
     of Legal Counsel opinions);
       (ii) briefs and other positions taken by agencies in 
     investigations, pre-litigation, litigation, or other 
     enforcement proceedings;
       (iii) speeches;
       (iv) editorials;
       (v) media interviews;
       (vi) press materials;
       (vii) congressional correspondence;
       (viii) guidance documents that pertain to a military or 
     foreign affairs function of the United States (other than 
     guidance on procurement or the import or export of non-
     defense articles and services);
       (ix) grant solicitations;
       (x) warning letters;
       (xi) case or investigatory letters responding to complaints 
     involving fact-specific determinations;
       (xii) purely internal agency policies;
       (xiii) guidance documents that pertain to the use, 
     operation or control of a government facility;
       (xiv) internal guidance documents directed solely to other 
     agencies; and
       (xv) any other category of significant guidance documents 
     exempted by an agency head in consultation with the 
     Administrator.
       (b) Agency Good Guidance Practices.--
       (1) Agency standards for significant guidance documents.--
       (A) Approval procedures.--
       (i) In general.--Each agency shall develop or have written 
     procedures for the approval of significant guidance 
     documents, which shall ensure that the issuance of 
     significant guidance documents is approved by appropriate 
     senior agency officials.
       (ii) Requirement.--Employees of an agency may not depart 
     from significant guidance documents without appropriate 
     justification and supervisory concurrence.
       (B) Standard elements.--Each significant guidance 
     document--
       (i) shall--

       (I) include the term ``guidance'' or its functional 
     equivalent;
       (II) identify the agency or office issuing the document;
       (III) identify the activity to which and the persons to 
     whom the significant guidance document applies;
       (IV) include the date of issuance;
       (V) note if the significant guidance document is a revision 
     to a previously issued guidance document and, if so, identify 
     the document that the significant guidance document replaces;
       (VI) provide the title of the document and a document 
     identification number; and
       (VII) include the citation to the statutory provision or 
     regulation (in Code of Federal Regulations format) which the 
     significant guidance document applies to or interprets; and

       (ii) shall not include mandatory terms such as ``shall'', 
     ``must'', ``required'', or ``requirement'' unless--

       (I) the agency is using those terms to describe a statutory 
     or regulatory requirement; or
       (II) the terminology is addressed to agency staff and will 
     not foreclose agency consideration of positions advanced by 
     affected private parties.

       (2) Public access and feedback for significant guidance 
     documents.--
       (A) Internet access.--
       (i) In general.--Each agency shall--

       (I) maintain on the website for the agency, or as a link on 
     the website of the agency to the electronic list posted on a 
     website of a component of the agency a list of the 
     significant guidance documents in effect of the

[[Page 4820]]

     agency, including a link to the text of each significant 
     guidance document that is in effect; and
       (II) not later than 30 days after the date on which a 
     significant guidance document is issued, update the list 
     described in clause (i).

       (ii) List requirements.--The list described in subparagraph 
     (A)(i) shall--

       (I) include the name of each--

       (aa) significant guidance document;
       (bb) document identification number; and
       (cc) issuance and revision dates; and

       (II) identify significant guidance documents that have been 
     added, revised, or withdrawn in the preceding year.

       (B) Public feedback.--
       (i) In general.--Each agency shall establish and clearly 
     advertise on the website for the agency a means for the 
     public to electronically submit--

       (I) comments on significant guidance documents; and
       (II) a request for issuance, reconsideration, modification, 
     or rescission of significant guidance documents.

       (ii) Agency response.--Any comments or requests submitted 
     under subparagraph (A)--

       (I) are for the benefit of the agency; and
       (II) shall not require a formal response from the agency.

       (iii) Office for public comments.--

       (I) In general.--Each agency shall designate an office to 
     receive and address complaints from the public relating to--

       (aa) the failure of the agency to follow the procedures 
     described in this section; or
       (bb) the improper treatment of a significant guidance 
     document as a binding requirement.

       (II) Website.--The agency shall provide, on the website of 
     the agency, the name and contact information for the office 
     designated under clause (i).

       (3) Notice and public comment for economically significant 
     guidance documents.--
       (A) In general.--Except as provided in paragraph (2), in 
     preparing a draft of an economically significant guidance 
     document, and before issuance of the final significant 
     guidance document, each agency shall--
       (i) publish a notice in the Federal Register announcing 
     that the draft document is available;
       (ii) post the draft document on the Internet and make a 
     tangible copy of that document publicly available (or notify 
     the public how the public can review the guidance document if 
     the document is not in a format that permits such electronic 
     posting with reasonable efforts);
       (iii) invite public comment on the draft document; and
       (iv) prepare and post on the website of the agency a 
     document with responses of the agency to public comments.
       (B) Exceptions.--In consultation with the Administrator, an 
     agency head may identify a particular economically 
     significant guidance document or category of such documents 
     for which the procedures of this subsection are not feasible 
     or appropriate.
       (4) Emergencies.--
       (A) In general.--In emergency situations or when an agency 
     is obligated by law to act more quickly than normal review 
     procedures allow, the agency shall notify the Administrator 
     as soon as possible and, to the extent practicable, comply 
     with this subsection.
       (B) Significant guidance documents subject to statutory or 
     court-imposed deadline.--For a significant guidance document 
     that is governed by a statutory or court-imposed deadline, 
     the agency shall, to the extent practicable, schedule the 
     proceedings of the agency to permit sufficient time to comply 
     with this subsection.
       (5) Effective date.--This section shall take effect 60 days 
     after the date of enactment of this Act.

                          ____________________