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131 Loan moratorium program ........
132 Rules for implementation of the Equal Access to

Justice Act .....
133 Index to approved SBA reporting and record-

keeping requirements ................ 134 Office of Hearings and Appeals ..........

......... 135 Intergovernmental review of Small Business Ad

ministration programs and activities .................. 136 Enforcement of nondiscrimination on the basis of

handicap in programs or actitities conducted by

the Small Business Administration

National Security Information Program ................ 140 Debt collection ....... 142 Program Fraud Civil Remedies Act regulations .....

Uniform administrative requirements for grants

and cooperative agreements to state and local

governments ......... 144 Discounted prepayment of disaster home loans ...... 145 Governmentwide debarment and suspension

(nonprocurement) and governmentwide require

ments for drug-free workplace (grants) ................
146 New restrictions on lobbying .........

SBA=Small Business Administration.
SBID=The Small Business Investment Division of SBA.
RFC=Reconstruction Finance Corporation.

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CROSS REFERENCE: For regulations of the Securities and Exchange Commission, see 17 CFR, Chapter II.


Sec. 101.1 Purpose, function, general organiza

tion. 101.2 Organization and functions of the

Central Office Administrator. 101.2–1 Office of Administration. 101.2-2 Office of Personnel. 101.23 Office of Field Management. 101.24 Office of Equal Employment Oppor

tunity and Compliance. 101.2-5 Office of the Inspector General. 101.26 Office of Advocacy. 101.2-7 Office of General Counsel. 101.2-8 Office of Hearings and Appeals. 101.2-9 Office of International Trade. 101.2-10 Office of Finance and Investment. 101.2-11 Office of Management Assistance. 101.2-12 Office of Procurement and Tech

nology Assistance. 101.2-13 Office of Minority Small Business

and Capital Ownership Development. 101.2–14 Office of External Affairs. 101.2-15 Office of Public Affairs. 101.2-16 Office of Policy. Planning and

Budgeting. 101.3 Organization and functions of the

Field Offices. 101.3-1 Listing of field offices. 101.3-2 Delegations of authority to conduct

program activities in field offices. 101.4 SBA forms for public use. 101.5 Seal. 101.6 Litigation. 101.7 Employment of fee counsel. 101.8 Investigations: Small Business Act. 101.8-1 Application of the rules of this part. 101.8-2 Scope of rules. 101.83 Authority of officer conducting in

vestigation. 101.84 Non-public formal investigation pro

ceedings. 101.85 Right to copy of data or transcript

of testimony. 101.86 Counsel for witnesses in investiga

tions. 101.8-7 Suspension or disbarment of counsel. 101.88 Information obtained in investiga

tions. 101.8-9 Service of subpoena. 101.8-10 Witness fees. 101.9 Public participation in rulemaking.

AUTHORITY: Secs. 4 and 5, Pub. L. 85-536, 72 Stat. 384 and 385 (15 U.S.C. 633 and 634, as amended); sec. 308, Pub. L. 85-699, 72 Stat. 694 (15 U.S.C. 687, as amended); sec. 5(b)(11), Pub. L. 93–386 (Aug. 23, 1974); and 5 U.S.C. 552.

SOURCE: Sections 101.2—101.2-16 appear at 47 FR 2074, Jan. 14, 1982, unless otherwise noted.

Sections 101.4 through 101.9 appear at 39 FR 43815, Dec. 19, 1974, unless otherwise noted.

$ 101.1 Purpose, function, general or

ganization (a) Purpose. To aid, counsel, assist, and protect the interests of small business concerns and to help victims of disasters.

(b) Functions—11) Procurement and technology assistance. To insure that a fair proportion of the total Government purchases and contracts or subcontracts for property and services for the Government be placed with small business enterprises by, among other things, certifying as to the competency of small business concerns to perform such contracts, or subletting contracts to small business concerns on which the Agency is prime contractor; to insure that a fair proportion of the total sales of Government property be made to small business enterprises; and to assure that small businesses obtain the benefit of Government sponsored research and development.

(2) Management assistance. To improve the management skills of owners, potential owners, and managers of small business concerns with direct action programs and through established channels of business relations; to provide technical and product assistance to small business concerns; and to inventory productive facilities of small business concerns.

(3) Financial assistance. To make loans to small business concerns and to victims of floods or other catastrophes, including loans to small business concerns suffering economic injury as a result of displacemnt by Federal construction, inability to process products for human consumption because of undetermined disease, and need to make changes in facilities or methods of operation because of various Federal laws imposing safety and health requirements; to make direct or band participation loans on the basis of certifications made by the Secretary of Commerce to assist firms, large and small, to adjust to changed economic conditions resulting from increased competition from imported articles; and to make loans to state and local development companies for purpose of assisting small business concerns.

(4) Guaranteeing surety bonds. To guarantee sureties of small busi-sses against portions of losses

from the breach of bid, payment or performance bonds.

(5) Small business investment companies. To provide venture capital in the form of equity financing and long-term loan funds to small business concerns and provide advisory services to such concerns through small business investment companies; to license small business investment companies, regulate the operations of such companies, and purchase or guarantee the purchase of debentures from small business investment companies to supplement their capital requirements for the financing of small business concerns.

(6) Advocacy of small business interests. To protect the interests of small businesses as they may be adversely affected by activities of other parts of this chapter.

(7) Further functional description. The more detailed program functions of the Agency are set forth in other sections of this part and other parts of this chapter.

(c) General organization. (1) Management of the Small Business Administration is vested in an Administrator appointed by the President with the advice and consent of the Senate. The Administrator is authorized to appoint three associate administrators under the Small Business Act and one associate administrator under the Small Business Investment Act. The Administrator is authorized to appoint a Deputy Administrator who shall be Acting Administrator of the Administration during the absence or disability of the Administrator or in the event of a vacancy in the Office of the Administrator. The Administrator is authorized, subject to the Civil Service and Classification Laws, to select, employ, appoint and fix the compensation of such officers, employees, attorneys and agents as shall be necessary to carry out the provisions of the Small Business Act and the Small Business Investment Act. Authority to the field offices flows from the Administrator to the Regional Administrators.

(2) The headquarters of the Small Business Administration is located at 1441 L Street NW., Washington, DC 20416.

(d) Applicable law. (1) Loans made by SBA are authorized and executed pur

suant to Federal programs adopted by Congress to achieve national purposes of the U.S. Government.

(2) Instruments evidencing a loan, obligation of security interest in real or personal property payable to or held by the Administration or the Administrator, such as promissory notes, bonds, guaranty agreements, mortgages, deeds of trust, and other evidences of debt or security shall be construed and enforced in accordance with applicable Federal law.

(3) In order to implement and facilitate these Federal loan programs, the application of local procedures, especially for recordation and notification purposes, may be utilized to the fullest extent feasible and practicable. However, the use of local procedures shall not be deemed or construed to be any waiver by SBA of any Federal immunity from any local control, penalty, or liability.

(4) Any person, corporation, or organization that applies for and receives any benefit or assistance from SBA, or that offers any assurance or security upon which SBA relies for the granting of such benefit or assistance, shall not be entitled to claim or assert any local immunity to defeat the obligation such party incurred in obtaining or assuring such Federal benefit or assistance. (44 FR 76757, Dec. 28, 1979)

8101.2 Organization and functions of

the Central Office-Administrator. The Administrator is responsible to the President and the Congress for exercising direction, authority and control over the Small Business Administration. The Administrator determines and approves all policies covering the Agency's programs to aid, counsel, assist and protect the interests of the Nation's small business concerns; delegates authority, (except the authority to approve or disapprove pool loans, ap plied research programs and defense production pools, as set forth in sections 7(a)(6), 9(d) and 11 of the Small Business Act) to the Deputy Administrator, the Associate Deputy Administrator, associate and assistant administrators, other Central Office officials reporting directly to the Administrator and regional administrators; consults with Federal, State and local agencies

on behalf of small business interests in placement, promotion, separation, pay the national economy; reports to the and wage administration, performance President and the Congress on Agency evaluation and incentives, grievances program accomplishments and prob- and appeals, conduct and discipline, lems; periodically evaluates the per- training and career development, performance, accomplishments and short sonnel records management and emand long range planning goals of the ployee services. Plans, directs, coordiCentral Office and the regions with and nates and executes Agencywide personthrough officials reporting directly to nel management program reviews. Prothe Administrator; and maintains, as a vides technical advice, assistance and responsibility of the Office, the activi- support to Central Office officials reties related to equal employment op lating to the personnel program. Reportunity; SBA advisory Councils; views and processes all field office perhearings and appeals in their formal sonnel actions requiring Central Office stage; congressional relations and leg approval. Maintains liaison with the islative review; legal services; and in- Office of Personnel Management in vestigatory, security and internal and matters relating to the development, external audit programs.

interpretation and application of per

sonnel regulations and procedures. De8 101.2–1 Office of Administration.

velops, plans and establishes standards Develops plans, procedures, and to provide for effective analysis and standards for effective implementation improvement of the Agency organizaof automated data services, adminis- tion. Maintains an organizational plan trative services (including emergency which describes the structure and funcpreparedness activities), and labor- tions of the organizational units and management relations. Develops data the location and geographical responmanagement and information systems sibilities of the field offices, etc. Diand procedures to effectively strength- rects the conduct of organizational en and improve the planning, program studies as requested by the Adminisevaluation, loan accounting, manage- trator or other top management offiment assistance, procurement assist cials of SBA, or on a continuing basis ance, minority small business, and in as necessitated by changes in staffing ternal administrative accounting and requirements and/or shifts in program personnel functions of the Agency. Re- emphasis or direction. sponsible for development of plans, operating procedures, and standards to $ 101.2-3 Office of Field Management. effectively strengthen and improve the Develops plans, procedures and provision and management of data standards for effective implementation processing, data communications, com- of field services and field review proputer systems analysis, and manage grams. Provides advice and guidance to ment science services within SBA. Rep regional administrators on all matters resents the Administrator as delegated, relating to their administrative and in negotiations with other Government program management responsibilities agencies on matters relating to office and, as necessary, serves as a liaison programs and activities, and develops between them and other key Central goals and objectives for Agency man Office officials in achieving specific agement support and data management goals and objectives. Evaluates field ofactivities. Reviews and evaluates the fice performance in terms of program effectiveness of all Agency administra- and management activities, determintive programs.

ing strengths and weaknesses, and rec

ommends corrective actions where apg 101.2-2 Office of Personnel.

propriate. Serves as the focal point of Develops and recommends policies contact between the Central Office and concerning the personnel programs and regional administrators. Receives and related activities. Develops plans, pro- evaluates input from the field on ascedures and standards to effectively pects of SBA programs and policies as strengthen and improve the Agency's they affect SBA's performance in the personnel program, including position regions and districts, and coordinates classification, recruitment, selection, with Central Office program and staff

personnel to effect such revisions as may be appropriate. Plans, arranges and participates in periodic high level conferences between key Central and field office officials on matters involving program or policy issues. Recommends lines of authority and responsibility of regional administrators and coordinates their efforts for attainment of predetermined objectives with the Office of Policy, Planning and Budgeting. Analyzes reports involving field visits by Central Office personnel and insures that corrective action is taken on any problems outlined therein.

8101.24 Office of Equal Employment

Opportunity and Compliance. Develops and recommends policies concerning the Equal Employment Op portunity and Compliance (EEO & C) programs. Develops plans, operating procedures and standards to effectively strengthen and improve the Agency's civil rights, equal employment opportunity and compliance programs and activities. Administers the Agency's discrimination complaint process. Serves as principal liaison with other Federal agencies and nonfederal organizations concerned with civil rights. Directs, coordinates and administers compliance programs and activities executed by Central Office staff. Provides advice, assistance and support to the Administrator in relation to the EEO & C program. The Director, Office of EEO & C serves as the Agency's equal employment opportunity officer, civil rights coordinator, compliance officer and as the Administrator's designee in making the final decision on discrimination complaints and ordering corrective measures, except when otherwise specified by the Administrator. (47 FR 4981, Feb. 3, 1982) 8 101.2–5 Office of the Inspector Gen

eral. To effectuate the Congressional intent underlying enactment of Pub. L. 95-452, which Act mandates the establishment of independent and objective offices within enumerated executive agencies to provide leadership and coordination and recommend policies de signed to promote economy, efficiency, effectiveness and prevent and detect

fraud and abuse in the administration of Agency programs and operations, the Office of the Inspector General develops and implements plans, procedures and standards for the conduct, by that office, of audits, investigations and inspections relating to Agency programs, operations, personnel and physical security. Reports the findings of such audits, investigations and inspections to appropriate Agency officials, which report shall include recommendations designed to assist in the development and implementation of measures to correct deficiencies noted in the programs and operations so reviewed. Monitors the nature, scope and results of remedial or other action taken by Agency officials in response to such findings and recommendations and report to the Administrator on the status of such action and on the continuing existence of significant deficiencies requiring remedial action to ensure protection of the Agency's programs and operations. Reviews existing and proposed legislation and regulations relating to Agency programs and operations to determine their impact on the economy and efficiency of, or on the prevention or detection of fraud and abuse in, such programs and operations. Prepares on a semi-annual basis and more frequently if necessary, a report for the Administrator and appropriate committees of Congress which shall include, but not necessarily be limited to, a description of significant deficiencies and abuses disclosed by the Inspector General's activities, the nature of the recommendations for corrective action made by that office, the status of remedial or other action instituted by Agency officials on the basis of these findings and recommendations, and a summary of those criminal matters referred by the Inspector General directly to the Attorney General for further investigative or prosecutive action. Effects liaison with appropriate Federal, State and local governmental agencies and nongovernmental entities as may be necessary to meet office responsibilities as they relate to the economy, efficiency, integrity and security of Agency programs and operations. Initiates such other action as the Inspector General may deem to be reasonable and

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