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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]

§ 101.2 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, applied 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 the national economy; reports to the President and the Congress on Agency program accomplishments and problems; periodically evaluates the performance, accomplishments and short and long range planning goals of the Central Office and the regions with and through officials reporting directly to the Administrator; and maintains, as a responsibility of the Office, the activities related to equal employment opportunity; SBA advisory councils; hearings and appeals in their formal stage; congressional relations and legislative review; legal services; and investigatory, security and internal and external audit programs.

§ 101.2-1 Office of Administration.

Develops plans, procedures, and standards for effective implementation of automated data services, administrative services (including emergency preparedness activities), and labormanagement relations. Develops data management and information systems and procedures to effectively strengthen and improve the planning, program evaluation, loan accounting, management assistance, procurement assistance, minority small business, and internal administrative accounting and personnel functions of the Agency. Responsible for development of plans, operating procedures, and standards to effectively strengthen and improve the provision and management of data processing, data communications, computer systems analysis, and management science services within SBA. Represents the Administrator as delegated, in negotiations with other Government agencies on matters relating to office programs and activities, and develops goals and objectives for Agency management support and data management activities. Reviews and evaluates the effectiveness of all Agency administrative programs.

§ 101.2-2 Office of Personnel.

Develops and recommends policies concerning the personnel programs and related activities. Develops plans, procedures and standards to effectively strengthen and improve the Agency's personnel program, including position classification, recruitment, selection,

placement, promotion, separation, pay and wage administration, performance evaluation and incentives, grievances and appeals, conduct and discipline, training and career development, personnel records management and employee services. Plans, directs, coordinates and executes Agencywide personnel management program reviews. Provides technical advice, assistance and support to Central Office officials relating to the personnel program. Reviews and processes all field office personnel actions requiring Central Office approval. Maintains liaison with the Office of Personnel Management in matters relating to the development, interpretation and application of personnel regulations and procedures. Develops, plans and establishes standards to provide for effective analysis and improvement of the Agency organization. Maintains an organizational plan which describes the structure and functions of the organizational units and the location and geographical responsibilities of the field offices, etc. Directs the conduct of organizational studies as requested by the Administrator or other top management officials of SBA, or on a continuing basis as necessitated by changes in staffing requirements and/or shifts in program emphasis or direction.

§ 101.2-3 Office of Field Management.

Develops plans, procedures and standards for effective implementation of field services and field review programs. Provides advice and guidance to regional administrators on all matters relating to their administrative and program management responsibilities and, as necessary, serves as a liaison between them and other key Central Office officials in achieving specific goals and objectives. Evaluates field office performance in terms of program and management activities, determining strengths and weaknesses, and recommends corrective actions where appropriate. Serves as the focal point of contact between the Central Office and regional administrators. Receives and evaluates input from the field on aspects of SBA programs and policies as they affect SBA's performance in the regions and districts, and coordinates 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.

§ 101.2-4 Office of Equal Employment Opportunity and Compliance.

Develops and recommends policies concerning the Equal Employment Opportunity 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]

§ 101.2-5 Office of the Inspector General.

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 designed 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 Agency programs and operations. Initiates such other action as the Inspector General may deem to be reasonable and

of

necessary in carrying out the office's responsibilities pursuant to Pub. L. 95452 and regulations promulgated pursuant thereto.

§ 101.2-6 Office of Advocacy.

Under the direction of the Administrator, directs the planning and development of government-wide public policies and administrative vehicles which enforce a nationwide program of Advocacy of small businesses; serves as chief spokesperson of such program; and otherwise carries out the mandate of Pub. L. 94-305. Responsible for ensuring that major government-wide policy directions enhance the economic viability of the largest possible number of small businesses. Ensures that the end results of such policies and administrative procedures, in furtherance of the statutory requirements include, but are not limited to, the following:

(a) Expanding small business in such a way as to enhance employment opportunities; (b) Working toward improving the tax structure in order to improve the viability and growth of small business; (c) Addressing all major Federal functions impinging on small business with the proper guidance, direction and instruction to assure a uniformity of purpose and approach which benefits small business and promotes or stimulates competition; and (d) Developing and recommending approaches to the ways and means of educating and training existing and potential small businesspersons, and developing incentives for entrepreneurship which assure equality of access to such entrepreneurs. Works with all programs and all regions of SBA in assuring concerted and uniform policy interpretation and implementation. Directs the analysis of economic trends, the changing impact of government expenditures and tax policies, and government regulations on the growth of the small business sector in our economy; provides appropriate evaluation and assessment tools with which to measure successful implementation of the Advocacy effort. Reviews and analyzes, on behalf of the SBA, the impact of existing and proposed legislation and regulations of other agencies of the Federal Govern

§ 101.2-7

ment, and State and local governments on small business.

§ 101.2-7 Office of General Counsel.

Develops and recommends policies governing SBA legal functions and activities. Develops plans, procedures and standards for providing legal services in support of SBA program operations, including execution of loan closing and litigation activities by Agency counsel. Analyzes and interprets legislation, regulations and orders relating to the operation of the Small Business Administration. Advises the Administrator, Deputy Administrator, Associate Deputy Administrator and all other SBA officials on the legal aspects of the development and execution of policies and programs. Negotiates with Federal agencies as to the legal aspects of matters pertaining to the responsibilities of SBA and drafts resultant agreements. Develops legal theories incorporated in requests to the Comptroller General or to other Federal agencies for decisions in matters of interest to small business. Provides legal counsel, advice and assistance to

Central Office officials in connection with financial, investment, administrative, technical, procurement and management assistance, and minority enterprise programs, and in the formation of defense production and research and development pools, in matters of Agency administration and in connection with any other matters having legal implications for the Agency. Within approved policies, gives direct legal advice and assistance to the field offices and exercises technical supervisory responsibility with respect to legal functions in the field offices. Also, advises on eligibility of applicants for assistance from SBA. Advises with respect to servicing and liquidation of loans. Assists and participates with the Department of Justice in litigation arising from delinquent loans and other SBA program activities. Prosecutes administrative proceedings pursuant to the Small Business Investment Act. Reviews legislative proposals affecting small business and develops recommendations for the Office of Management and Budget and congressional committees; prepares legislative proposals relating to SBA; and devel

ops reports for congressional hearings or the Executive Office of the President. Develops program goals and objectives within the framework of approved policies. Reviews and evaluates legal program effectiveness, including onsite visits to evaluate field office performance. Maintains liaison with governmental and other agencies having activities related to the legal functions of the Agency. The General Counsel serves as Agency designee to the Administrative Conference of the United States, and as chairperson of the Standards of Conduct Committee.

§ 101.2-8 Office of Hearings and Appeals. Conducts

administrative hearings and other proceedings in connection with appeals, grievances and other disputes in the Small Business Administration. Conducts, or arranges for, hearings and other proceedings to adjudicate disputes, decide appeals, or recommend decisions pertaining to such matters as: SBIC enforcement proceedings; termination, including graduation of 8(a) program participants; adjudication of findings of noncompliance with parts 112 and 113 of SBA's Rules and Regulations, title 13, CFR, by applicants for or recipients of assistance from SBA; Revocation of applicant representative's privilege to appear before SBA; and personnel grievances (in their formal stage). Handles other such matters as may be assigned from time to time by the Administrator. Develops and implements Agency policies and procedures to effectively strengthen and improve dispute-related decision making in SBA. Consults with program and staff offices as necessary to fulfill assigned responsibilities. Recommends appropriate changes in existing regulations and laws to improve the process of dispute-related decision making within SBA.

§ 101.2-9 Office of International Trade.

Develops new methods and techniques for assisting small businesses entering international markets. Plans, develops, and implements programs to encourage small business participation in international trade. To assure that adequate consideration is given to small b ss interests in the Federal

Government's export expansion program, coordinates the SBA International Trade Program with the Department of Commerce, the Export-Import Bank of the U.S., the Agency for International Development, and other departments of the Federal and State governments. Assures that the International Trade Program provides individual counseling to small business concerns to assess the feasibility of their export marketing plans and to determine and obtain necessary international trade data from Government and private sources. Assures that SBA field office designees assigned international trade responsibilities are provided adequate information and material so that international trade counseling and training services can be rendered through SBA field offices. Develops programs in cooperation with operating units of the Department of Commerce to assure that small business will be afforded maximum opportunities and benefits from participation in overseas trade centers, trade fairs, and trade missions. Coordinates the SBA International Trade Program with other SBA units having major operating programs, such as the offices of Management Assistance, Procurement Assistance, and Minority Small Business and Capital Ownership Development, and the Financial Assistance and Investment, in order to provide small business concerns with the full benefits of the Agency's program of assistance in the development of international marketing plans. Provides advice, assistance, and support to Central Office officials relating to the International Trade Program. Establishes and maintains liaison with the offices of Advocacy and Public Affairs to insure that SBA export programs are made more effective by working with foreign governments and foreign visitors to achieve maximum potential. Maintains liaison with other Federal agencies and professional and trade associations whose activities relate to the International Trade Program. Develops program goals and objectives within the framework of approved policies. Reviews and evaluates program effective

ness.

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