[Federal Register Volume 64, Number 177 (Tuesday, September 14, 1999)]
[Notices]
[Pages 49837-49838]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-23827]


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DEPARTMENT OF THE TREASURY

[Treasury Directive Number 32-12]


Restrictions on Lobbying for Federal Grants, Cooperative 
Agreements, Loans, and Commitments To Insure or Guarantee a Loan

September 1, 1999.
    1. Purpose. This directive establishes policy, procedures and 
responsibilities for implementing Office of Management and Budget (OMB) 
guidance on restrictions on lobbying for Federal grants, cooperative 
agreements, loans, and commitments to insure or guarantee a loan.
    2. Scope. This directive applies to all bureaus, Departmental 
Offices (DO), the Office of Inspector General (IG) and the Treasury 
Inspector General for Tax Administration.
    3. Policy. It is the policy of the Department of the Treasury that 
persons, including those who represent corporations, partnerships, and 
other entities, who request or receive a covered Federal grant, 
cooperative agreement, loan or commitment to insure or guarantee a loan 
(see paragraph 6.a., below) must file the certification and disclosure 
forms on lobbying activities required by law.
    4. Background.
    a. 31 U.S.C. 1352 prohibits recipients of Federal contracts, 
grants, loans, or cooperative agreements from using appropriated funds 
to influence, or attempt to influence, Government employees, and 
members of Congress or their staffs. The law specifies penalities for
    b. Treasury has codified OMB's guidance on lobbying restrictions at 
31 CFR part 21.
    c. Treasury procedures on restrictions on lobbying for contracts 
are covered in Department of the Treasury Acquisition Regulation, 
subpart 1003.8, ``Limitation on the Payment of Funds to Influence 
Federal Transactions.''
    5. Definitions.
    a. Cooperative Agreement. A legal instrument between a bureau or 
office and a person to work together for a common purpose. Substantial 
involvement is expected between the bureau or office and the person.
    b. Direct Loan. This occurs when a bureau or office disburses funds 
to a borrower and enters into a contract with the borrower for 
repayment.
    c. Grant. An award of financial assistance in the form of money, or 
property in lieu of money, by a bureau or office, or a direct 
appropriation made by law to any person.
    d. Guaranteed or Insured Loans. This occurs when a third party 
lender makes a direct loan to a borrower; the bureau or office agrees 
to repay the lender all or a portion of the loan in case the borrower 
defaults.
    e. Person. An individual, corporation, company, association, 
authority, firm, partnership, society, and State or local government, 
regardless of whether such entity is operated for profit or not for 
profit.
    6. Procedures.
    a. The certification and disclosure requirements in 31 U.S.C. 1352 
apply to:
    (1) A Federal grant or cooperative agreement from Treasury in 
excess of $100,000.
    (2) A Federal loan or commitment to insure or guarantee a loan from 
Treasury in excess of $150,000.
    b. A person who requests or receives a covered Federal grant, 
cooperative agreement, or loan from Treasury must certify (see 31 CFR 
part 21 appendix A that the person has not made and will not make any 
payment prohibited by 31 U.S.C. 1352. Such a person must file SF LLL, 
``Disclosure of Lobbying Activities'' (see 31 CFR part 21 appendix B) 
if that person has made or has agreed to make any payment from 
nonappropriated funds which would be prohibited under 31 U.S.C. 1352 if 
paid for with appropriated funds.
    c. A person who requests or receives a covered commitment providing 
for the United States to insure or guarantee a loan must certify (see 
31 CFR part 21 appendix A) as to whether the person has made or agreed 
to make any payment prohibited by 31 U.S.C. 1352. Such a person must 
file SF LLL, ``Disclosure of Lobbying Activities'' (see 31 CFR part 21 
appendix B) if that person has made or has agreed to make any payment 
to influence or attempt to influence a Government officer or employee 
in connection with that loan insurance or guarantee.
    d. The appropriate certification and, if required, disclosure form 
shall be filed with each submission that initiates agency consideration 
for, and upon award of, a grant, cooperative agreement, loan, or 
commitment to insure or guarantee a loan described above. 
Certifications and disclosure forms shall be filed with the appropriate 
bureau or office.
    7. Responsibilities.
    a. The Deputy Assistant Secretary (Administration), Heads of 
Bureaus, the Inspector General and the Treasury Inspector General for 
Tax Administration as it relates to their respective bureaus and 
offices, shall ensure that each person who requests or receives a 
Federal grant, cooperative agreement, loan, or commitment to insure or 
guarantee a loan, is required to file the required certification and, 
if required, disclosure forms with the appropriate bureau or office.
    b. Treasury's Director of Procurement will issue procedures to 
bureaus concerning lobbying for contracts.
    8. Authorities.
    a. 31 U.S.C. 1352, ``Limitation on Use of Appropriated Funds to 
Influence Certain Federal Contracting and Financial Transactions.''
    b. OMB Interim Final Rule, 55 FR 6736 (1990).

[[Page 49838]]

    c. 31 CFR part 21, ``New Restrictions on Lobbying.''
    9. References.
    a. Department of the Treasury Acquisition Regulation, subpart 
1003.8, ``Limitations on the Payment of Funds to Influence Federal 
Transactions.''
    10. Supply of Forms. Copies of the ``Certification Regarding 
Lobbying'' and OMB Standard Form LLL, ``Disclosure of Lobbying 
Activities'' are available from the Office of Treasury's Deputy Chief 
Financial Officer.
    11. Cancellation. Treasury Directive 32-12, ``Restrictions on 
Lobbying for Treasury Grants, Loans and Cooperative Agreements'', dated 
January 6, 1992, is superseded.
    12. Office of Primary Interest. Office of Accounting and Internal 
Control, Office of the Deputy Chief Financial Officer, Office of the 
Assistant Secretary for Management and Chief Financial Officer.
Nancy Killefer,
Assistant Secretary for Management and Chief Financial Officer.
[FR Doc. 99-23827 Filed 9-13-99; 8:45 am]
BILLING CODE 4810-25-P