- CHAPTER I SMALL BUSINESS ADMINISTRATION
- 1-100 PARTS 1-100 [RESERVED]
- PART 101 ADMINISTRATION
- Subpart A Overview
- § 101.100 What is the purpose of SBA?
- § 101.101 Who manages SBA?
- § 101.102 Where is SBA's Headquarters located?
- § 101.103 Where are SBA's field offices located?
- § 101.104 What are the functions of SBA's field offices?
- § 101.105 Who may use SBA's official seal and for what purpose?
- § 101.106 Does Federal law apply to SBA programs and activities?
- § 101.107 What SBA forms are approved for public use?
- § 101.108 [Reserved]
- § 101.109 Do SBA regulations include the section headings?
- Subpart B Employment of Private Counsel
- § 101.200 When does SBA hire private counsel?
- § 101.201 What are the minimum terms of private counsel's employment?
- Subpart C Inspector General
- § 101.300 What is the Inspector General's authority to conduct audits, investigations, and inspections?
- § 101.301 Who should receive information or allegations of waste, fraud, and abuse?
- § 101.302 What is the scope of the Inspector General's authority?
- § 101.303 How are Inspector General subpoenas served?
- Subpart D Intergovernmental Partnership
- § 101.400 What is the purpose of this subpart?
- § 101.401 What programs and activities of SBA are subject to this subpart?
- § 101.402 What procedures apply to the selection of SBA programs and activities?
- § 101.403 What are the notice and comment procedures?
- § 101.404 How does the Administrator receive comments?
- § 101.405 How does the Administrator respond to comments?
- § 101.406 What are the Administrator's responsibilities in interstate situations?
- § 101.407 May the Administrator waive these regulations?
- Subpart E Small Business Energy Efficiency
- § 101.500 Small Business Energy Efficiency Program.
- PART 102 RECORD DISCLOSURE AND PRIVACY
- Subpart A Disclosure of Information
- § 102.1 General provisions.
- § 102.2 Proactive disclosure of records.
- § 102.3 Requirements pertaining to the submission of requests.
- § 102.4 Responsibility for responding to requests.
- § 102.5 Timing of responses to requests.
- § 102.6 Responses to requests.
- § 102.7 Confidential commercial information.
- § 102.8 Fees.
- § 102.9 Administrative appeals.
- § 102.10 Preservation of records.
- § 102.11 Subpoenas.
- Appendix A to Subpart A of Part 102 Records Maintained by SBA
- Subpart B Protection of Privacy and Access to Individual Records Under the Privacy Act of 1974
- § 102.20 General provisions.
- § 102.21 Agency employees responsible for the Privacy Act of 1974.
- § 102.22 Requirements relating to systems of records.
- § 102.23 Publication in the Federal Register—Notices of systems of records.
- § 102.24 Requests for access to records.
- § 102.25 Responsibility for responding to requests for access to records.
- § 102.26 Responses to requests for access to records.
- § 102.27 Appeals from denials of requests for access to records.
- § 102.28 Requests for amendment or correction of records.
- § 102.29 Requests for an accounting of record disclosures.
- § 102.30 Preservation of records.
- § 102.31 Fees.
- § 102.32 Notice of court-ordered and emergency disclosures.
- § 102.33 Security of systems of records.
- § 102.34 Contracts for the operation of record systems.
- § 102.35 Use and collection of Social Security Numbers.
- § 102.36 Privacy Act standards of conduct.
- § 102.37 Training requirements.
- § 102.38 Other rights and services.
- § 102.39 SBA's exempt Privacy Act systems of records.
- § 102.40 Computer matching.
- § 102.41 Other provisions.
- PART 103 STANDARDS FOR CONDUCTING BUSINESS WITH SBA
- § 103.1 Key definitions.
- § 103.2 Who may conduct business with SBA?
- § 103.3 May SBA suspend or revoke an Agent's privilege?
- § 103.4 What is “good cause” for suspension or revocation?
- § 103.5 How does SBA regulate an Agent's fees and provision of service?
- PART 105 STANDARDS OF CONDUCT AND EMPLOYEE RESTRICTIONS AND RESPONSIBILITIES
- 1 Standards of Conduct
- § 105.101 Cross-reference to employee ethical conduct standards and financial disclosure regulations.
- 2 Restrictions and Responsibilities Related to SBA Employees and Former Employees
- § 105.201 Definitions.
- § 105.202 Employment of former employee by person previously the recipient of SBA Assistance.
- § 105.203 SBA Assistance to person employing former SBA employee.
- § 105.204 Assistance to SBA employees or members of their household.
- § 105.205 Duty to report irregularities.
- § 105.206 Applicable rules and directions.
- § 105.207 Politically motivated activities with respect to the Minority Small Business Program.
- § 105.208 Penalties.
- 3 Restrictions on SBA Assistance to Other Individuals
- § 105.301 Assistance to officers or employees of other Government organizations.
- § 105.302 Assistance to employees or members of quasi-Government organizations.
- 4 Administrative Provisions
- § 105.401 Standards of Conduct Committee.
- § 105.402 Standards of Conduct Counselors.
- § 105.403 Designated Agency Ethics Officials.
- PART 106 COSPONSORSHIPS, FEE AND NON-FEE BASED SBA-SPONSORED ACTIVITIES AND GIFTS
- Subpart A Scope and Definitions
- § 106.100 Scope.
- § 106.101 Definitions.
- Subpart B Cosponsored Activities
- § 106.200 Cosponsored Activity.
- § 106.201 Who may be a Cosponsor?
- § 106.202 What are the minimum requirements applicable to Cosponsored Activities?
- § 106.203 What provisions must be set forth in a Cosponsorship Agreement?
- § 106.204 Who has the authority to approve and sign a Cosponsorship Agreement?
- Subpart C Fee Based SBA-Sponsored Activities
- § 106.300 Fee Based SBA-Sponsored Activity.
- § 106.301 What are the minimum requirements applicable to Fee Based SBA-Sponsored Activities?
- § 106.302 What provisions must be set forth in a Fee Based Record?
- § 106.303 Who has authority to approve and sign a Fee Based Record?
- Subpart D Non-Fee Based SBA-Sponsored Activities
- § 106.400 Non-Fee Based SBA-Sponsored Activity.
- § 106.401 What are the minimum requirements applicable to a Non-Fee Based SBA-Sponsored Activities?
- § 106.402 What provisions must be set forth in a Non-Fee Based Record?
- § 106.403 Who has authority to approve and sign a Non-Fee Based Record?
- Subpart E Gifts
- § 106.500 What is SBA's Gift authority?
- § 106.501 What minimum requirements are applicable to SBA's solicitation and/or acceptance of Gifts?
- § 106.502 Who has authority to perform a Gift conflict of interest determination?
- § 106.503 Are there types of Gifts which SBA may not solicit and/or accept?
- PART 107 SMALL BUSINESS INVESTMENT COMPANIES
- Subpart A Introduction to Part 107
- § 107.20 Legal basis and applicability of this part 107.
- § 107.25 Severability.
- § 107.30 Amendments to Act and regulations.
- § 107.40 How to read this part 107.
- Subpart B Definition of Terms Used in Part 107
- § 107.50 Definition of terms.
- Subpart C Qualifying for an SBIC License
- 33 Organizing an SBIC
- § 107.100 Organizing a Section 301(c) Licensee.
- § 107.115 1940 Act and 1980 Act Companies.
- § 107.120 [Reserved]
- § 107.130 Requirement for qualified management.
- § 107.140 SBA approval of initial Management Expenses.
- § 107.150 Management-ownership diversification requirement.
- § 107.160 Special rules for Licensees formed as limited partnerships.
- 34 Capitalizing an SBIC
- § 107.200 Adequate capital for Licensees.
- § 107.210 Minimum capital requirements for Licensees.
- § 107.230 Permitted sources of Private Capital for Licensees.
- § 107.240 Limitations on including non-cash capital contributions in Private Capital.
- § 107.250 [Reserved]
- 35 Applying for an SBIC License
- § 107.300 License application form and fee.
- § 107.305 Evaluation of license applicants.
- § 107.310 [Reserved]
- § 107.320 Leverage portfolio diversification.
- Subpart D Changes in Ownership, Control, or Structure of Licensee; Transfer of License
- 36 Changes in Control or Ownership of Licensee
- § 107.400 Changes in ownership of 10 percent or more of Licensee but no change of Control.
- § 107.410 Changes in Control of Licensee (through change in ownership or otherwise).
- § 107.420 Prohibition on exercise of ownership or Control rights in Licensee before SBA approval.
- § 107.430 Notification to SBA of transactions that may change ownership or Control.
- § 107.440 Standards governing prior SBA approval for a proposed transfer of Control.
- § 107.450 Notification to SBA of pledge of Licensee's shares.
- § 107.460 [Reserved]
- 37 Change in Structure of Licensee
- § 107.470 SBA approval of merger, consolidation, or reorganization of Licensee.
- 38 Transfer of License
- § 107.475 Transfer of license.
- Subpart E Managing the Operations of a Licensee
- 39 General Requirements
- § 107.500 Lawful operations under the Act.
- § 107.501 Identification.
- § 107.502 Representations to the public.
- § 107.503 Licensee's adoption of an approved valuation policy.
- § 107.504 Equipment and office requirements.
- § 107.506 Safeguarding Licensee's assets/Internal controls.
- § 107.507 Violations based on false filings and nonperformance of agreements with SBA.
- § 107.509 Employment of SBA officials.
- 40 Management and Compensation
- § 107.510 SBA approval of Licensee's Investment Adviser/Manager.
- § 107.520 Management Expenses of a Licensee.
- 41 Cash Management by a Licensee
- § 107.530 Restrictions on investments of idle funds by leveraged Licensees.
- 42 Borrowing by Licensees From Non-SBA Sources
- § 107.550 Prior approval of secured third-party debt of Leveraged Licensees.
- § 107.560 Subordination of SBA's creditor position.
- § 107.565 Restrictions on third-party debt of Early Stage SBICs.
- § 107.570 [Reserved]
- 43 Distributions and Reductions in Regulatory Capital
- § 107.585 Distributions and reductions in Regulatory Capital.
- 44 Requirement To Conduct Active Investment Operations
- § 107.590 Licensee's requirement to maintain active operations.
- Subpart F Recordkeeping, Reporting, and Examination Requirements for Licensees
- 45 Recordkeeping Requirements for Licensees
- § 107.600 General requirement for Licensee to maintain and preserve records.
- § 107.610 Required certifications for Loans and Investments.
- § 107.620 Requirements to obtain information from Portfolio Concerns.
- 46 Reporting Requirements for Licensees
- § 107.630 Requirement for Licensees to file financial statements with SBA (Form 468).
- § 107.640 Requirement to file Portfolio Financing Reports (SBA Form 1031).
- § 107.650 Requirement to report portfolio valuations to SBA.
- § 107.660 Other items required to be filed by Licensee with SBA.
- § 107.665 Civil penalties.
- § 107.670 Application for exemption from civil penalty for late filing of reports.
- § 107.680 Reporting changes in Licensee not subject to prior SBA approval.
- 47 Examinations of Licensees by SBA for Regulatory Compliance
- § 107.690 Examinations.
- § 107.691 Responsibilities of Licensee during examination.
- § 107.692 Examination fees.
- Subpart G Financing of Small Businesses by Licensees
- 48 Determining the Eligibility of a Small Business for SBIC Financing
- § 107.700 Compliance with size standards in part 121 of this chapter as a condition of Assistance.
- § 107.710 Requirement to finance smaller enterprises.
- § 107.720 Small Businesses that may be ineligible for financing.
- § 107.730 Financings which constitute conflicts of interest.
- § 107.740 Portfolio diversification (“Overline” limitation).
- § 107.750 Conditions for financing a change of ownership of a Small Business.
- § 107.760 How a change in size or activity of a Portfolio Concern affects the Licensee and the Portfolio Concern.
- 49 Structuring Licensee's Financing of Eligible Small Businesses: Types of Financing
- § 107.800 Financings in the form of Equity Securities.
- § 107.810 Financing in the form of Loans.
- § 107.815 Financings in the form of Debt Securities.
- § 107.820 Financings in the form of guarantees.
- § 107.825 Purchasing securities from an underwriter or other third party.
- 50 Structuring Licensee's Financing of an Eligible Small Business: Terms and Conditions of Financing
- § 107.830 Duration/term of financing.
- § 107.835 [Reserved]
- § 107.840 [Reserved]
- § 107.845 [Reserved]
- § 107.850 Restrictions on redemption of Equity Securities.
- § 107.855 Interest rate ceiling and limitations on fees charged to Small Businesses (“Cost of Money”).
- § 107.860 Financing fees and expense reimbursements a Licensee may receive from a Small Business.
- § 107.865 Control of a Small Business by a Licensee.
- § 107.880 Assets acquired in liquidation of Portfolio securities.
- 51 Limitations on Disposition of Assets
- § 107.885 Disposition of assets to Licensee's Associates or to competitors of Portfolio Concern.
- 52 Management Services and Fees
- § 107.900 Management fees for services provided to a Small Business by Licensee or its Associate.
- Subpart H Non-leveraged Licensees—Exceptions to Regulations
- § 107.1000 Non-leveraged Licensees—exceptions to this part.
- Subpart I SBA Financial Assistance for Licensees (Leverage)
- 53 General Information About Obtaining Leverage
- § 107.1100 Types of Leverage and application procedures.
- § 107.1120 General eligibility requirements for Leverage.
- § 107.1130 Leverage fees and Annual Charges.
- § 107.1140 [Reserved]
- 54 Maximum Amount of Leverage for Which a Licensee Is Eligible
- § 107.1150 Maximum amount of Leverage.
- § 107.1160 [Reserved]
- 55 Special Rules for Leverage Issued by an Early Stage SBIC
- § 107.1180 Required distributions to SBA by Early Stage SBICs.
- § 107.1181 Interest reserve requirements for Early Stage SBICs.
- § 107.1182 Valuation requirements for Early Stage SBICs based on Capital Impairment Percentage.
- 56 Conditional Commitments by SBA To Reserve Leverage for a Licensee
- § 107.1200 SBA's Leverage commitment to a Licensee—application procedure, amount, and term.
- § 107.1210 Payment of leverage fee upon receipt of commitment.
- § 107.1220 Requirement for Licensee to file quarterly financial statements.
- § 107.1230 Draw-downs by Licensee under SBA's Leverage commitment.
- § 107.1240 Funding of Licensee's draw request through sale to short-term investor.
- § 107.1400 [Reserved]
- § 107.1410 [Reserved]
- § 107.1420 [Reserved]
- § 107.1430 [Reserved]
- § 107.1440 [Reserved]
- § 107.1450 [Reserved]
- 57 Participating Securities Leverage
- § 107.1500 General description of Participating Securities.
- § 107.1505 Liquidity requirements for Licensees issuing Participating Securities.
- § 107.1510 How a Licensee computes Earmarked Profit (Loss).
- § 107.1520 How a Licensee computes and allocates Prioritized Payments to SBA.
- § 107.1530 How a Licensee computes SBA's Profit Participation.
- § 107.1540 Distributions by Licensee—Prioritized Payments and Adjustments.
- § 107.1550 Distributions by Licensee—permitted “tax Distributions” to private investors and SBA.
- § 107.1560 Distributions by Licensee—required Distributions to private investors and SBA.
- § 107.1570 Distributions by Licensee—optional Distribution to private investors and SBA.
- § 107.1575 Distributions on other than Payment Dates.
- § 107.1580 Special rules for In-Kind Distributions by Licensees.
- § 107.1585 ][Reserved]
- § 107.1590 [Reserved]
- 58 Funding Leverage by Use of SBA-Guaranteed Trust Certificates (“TCs”)
- § 107.1600 SBA authority to issue and guarantee Trust Certificates.
- § 107.1610 Effect of prepayment or early redemption of Leverage on a Trust Certificate.
- § 107.1620 Functions of agents, including Central Registration Agent, Selling Agent and Fiscal Agent.
- § 107.1630 SBA regulation of Brokers and Dealers and disclosure to purchasers of Leverage or Trust Certificates.
- § 107.1640 SBA access to records of the CRA, Brokers, Dealers and Pool or Trust assemblers.
- 59 Miscellaneous
- § 107.1700 Transfer by SBA of its interest in Licensee's Leverage security.
- § 107.1710 SBA authority to collect or compromise its claims.
- § 107.1720 Characteristics of SBA's guarantee.
- Subpart J Licensee's Noncompliance
- § 107.1800 Licensee's agreement to terms and conditions in §§ 107.1810 and 107.1820.
- § 107.1810 Events of default and SBA's remedies for Licensee's noncompliance with terms of Debentures.
- § 107.1820 Conditions affecting issuers of Preferred Securities and/or Participating Securities.
- 60 Computation of Licensee's Capital Impairment
- § 107.1830 Licensee's Capital Impairment—definition and general requirements.
- § 107.1840 Computation of Licensee's Capital Impairment Percentage.
- § 107.1845 Determination of Capital Impairment Percentage for Early Stage SBICs.
- § 107.1850 Watchlist.
- Subpart K Ending Operations as a Licensee
- § 107.1900 Surrender of license.
- Subpart L Miscellaneous
- § 107.1910 Non-waiver of SBA's rights or terms of Leverage security.
- § 107.1920 Licensee's application for exemption from a regulation in this part 107.
- § 107.1930 Effect of changes in this part 107 on transactions previously consummated.
- PART 108 NEW MARKETS VENTURE CAPITAL (“NMVC”) PROGRAM
- Subpart A Introduction to Part 108
- § 108.10 Description of the New Markets Venture Capital Program.
- § 108.20 Legal basis and applicability of this part 108.
- § 108.30 Amendments to Act and regulations.
- § 108.40 How to read this part 108.
- Subpart B Definition of Terms Used in This Part 108
- § 108.50 Definition of terms.
- Subpart C Qualifications for the NMVC Program
- 84 Organizing a NMVC Company
- § 108.100 Business form.
- § 108.110 Qualified management.
- § 108.120 Economic development primary mission.
- § 108.130 Identified Low Income Geographic Areas.
- § 108.140 SBA approval of initial Management Expenses.
- § 108.150 Management and ownership diversity requirement.
- § 108.160 Special rules for NMVC Companies formed as limited partnerships.
- 85 Capitalizing a NMVC Company
- § 108.200 Adequate capital for NMVC Companies.
- § 108.210 Minimum capital requirements for NMVC Companies.
- § 108.230 Private Capital for NMVC Companies.
- Subpart D Application and Approval Process for NMVC Company Designation
- § 108.300 When and how to apply for designation as a NMVC Company.
- § 108.310 Contents of application.
- § 108.320 Contents of comprehensive business plan.
- § 108.330 Grant issuance fee.
- Subpart E Evaluation and Selection of NMVC Companies
- § 108.340 Evaluation and selection—general.
- § 108.350 Eligibility and completeness.
- § 108.360 Evaluation criteria.
- § 108.370 Conditional approval.
- § 108.380 Final approval as a NMVC Company.
- Subpart F Changes in Ownership, Structure, or Control
- 86 Changes in Control or Ownership of NMVC Company
- § 108.400 Changes in ownership of 10 percent or more of NMVC Company but no change of Control.
- § 108.410 Changes in Control of NMVC Company (through change in ownership or otherwise).
- § 108.420 Prohibition on exercise of ownership or Control rights in NMVC Company before SBA approval.
- § 108.430 Notification to SBA of transactions that may change ownership or Control.
- § 108.440 Standards governing prior SBA approval for a proposed transfer of Control.
- § 108.450 Notification to SBA of pledge of NMVC Company's shares.
- 87 Restrictions on Common Control or Ownership of Two or More NMVC Companies
- § 108.460 Restrictions on Common Control or ownership of two (or more) NMVC Companies.
- 88 Change in Structure of NMVC Company
- § 108.470 SBA approval of merger, consolidation, or reorganization of NMVC Company.
- Subpart G Managing the Operations of a NMVC Company
- 89 General Requirements
- § 108.500 Lawful operations under the Act.
- § 108.502 Representations to the public.
- § 108.503 NMVC Company's adoption of an approved valuation policy.
- § 108.504 Equipment and office requirements.
- § 108.506 Safeguarding the NMVC Company's assets/Internal controls.
- § 108.507 Violations based on false filings and nonperformance of agreements with SBA.
- § 108.509 Employment of SBA officials.
- 90 Management and Compensation
- § 108.510 SBA approval of NMVC Company's Investment Adviser/Manager.
- § 108.520 Management Expenses of a NMVC Company.
- 91 Cash Management by a NMVC Company
- § 108.530 Restrictions on investments of idle funds by NMVC Companies.
- 92 Borrowing by NMVC Companies From Non-SBA Sources
- § 108.550 Prior approval of secured third-party debt of NMVC companies.
- 93 Voluntary Decrease in Regulatory Capital
- § 108.585 Voluntary decrease in NMVC Company's Regulatory Capital.
- Subpart H Recordkeeping, Reporting, and Examination Requirements for NMVC Companies
- 94 Recordkeeping Requirements for NMVC Companies
- § 108.600 General requirement for NMVC Company to maintain and preserve records.
- § 108.610 Required certifications for Loans and Investments.
- § 108.620 Requirements to obtain information from Portfolio Concerns.
- 95 Reporting Requirements for NMVC Companies
- § 108.630 Requirement for NMVC companies to file financial statements and supplementary information with SBA (SBA Form 468).
- § 108.640 Requirement to file portfolio financing reports (SBA Form 1031).
- § 108.650 Requirement to report portfolio valuations to SBA.
- § 108.660 Other items required to be filed by NMVC Company with SBA.
- § 108.680 Reporting changes in NMVC Company not subject to prior SBA approval.
- 96 Examinations of NMVC Companies by SBA for Regulatory Compliance
- § 108.690 Examinations.
- § 108.691 Responsibilities of NMVC Company during examination.
- § 108.692 Examination fees.
- Subpart I Financing of Small Businesses by NMVC Companies
- 97 Determining the Eligibility of a Small Business for NMVC Financing
- § 108.700 Compliance with size standards in part 121 of this chapter as a condition of Assistance.
- § 108.710 Requirement to finance Low-Income Enterprises.
- § 108.720 Small Businesses that may be ineligible for financing.
- § 108.730 Financings which constitute conflicts of interest.
- § 108.740 Portfolio diversification (“overline” limitation).
- § 108.760 How a change in size or activity of a Portfolio Concern affects the NMVC Company and the Portfolio Concern.
- 98 Structuring NMVC Company's Financing of Eligible Small Businesses
- § 108.800 Financings in the form of equity interests.
- § 108.820 Financings in the form of guarantees.
- § 108.825 Purchasing securities from an underwriter or other third party.
- 99 Limitations on Disposition of Assets
- § 108.885 Disposition of assets to NMVC Company's Associates.
- 100 Management Services and Fees
- § 108.900 Fees for management services provided to a Small Business by a NMVC Company or its Associate.
- Subpart J SBA Financial Assistance for NMVC Companies (Leverage)
- 101 General Information About Obtaining Leverage
- § 108.1100 Type of Leverage and application procedures.
- § 108.1120 General eligibility requirement for Leverage.
- § 108.1130 Leverage fees payable by NMVC Company.
- § 108.1140 NMVC Company's acceptance of SBA remedies under § 108.1810.
- 102 Maximum Amount of Leverage for Which a NMVC Company Is Eligible
- § 108.1150 Maximum amount of Leverage for a NMVC Company.
- 103 Conditional Commitments by SBA To Reserve Leverage for a NMVC Company
- § 108.1200 SBA's Leverage commitment to a NMVC Company—application procedure, amount, and term.
- § 108.1220 Requirement for NMVC Company to file financial statements at the time of request for a draw.
- § 108.1230 Draw-downs by NMVC Company under SBA's Leverage commitment.
- § 108.1240 Funding of NMVC Company's draw request through sale to third-party.
- 104 Funding Leverage by use of SBA Guaranteed Trust Certificates (“TCs”)
- § 108.1600 SBA authority to issue and guarantee Trust Certificates.
- § 108.1610 Effect of prepayment or early redemption of Leverage on a Trust Certificate.
- § 108.1620 Functions of agents, including Central Registration Agent, Selling Agent and Fiscal Agent.
- § 108.1630 SBA regulation of Brokers and Dealers and disclosure to purchasers of Leverage or Trust Certificates.
- § 108.1640 SBA access to records of the CRA, Brokers, Dealers and Pool or Trust assemblers.
- 105 Miscellaneous
- § 108.1700 Transfer by SBA of its interest in a NMVC Company's Leverage security.
- § 108.1710 SBA authority to collect or compromise its claims.
- § 108.1720 Characteristics of SBA's guarantee.
- Subpart K NMVC Company's Noncompliance With Terms of Leverage
- § 108.1810 Events of default and SBA's remedies for NMVC Company's noncompliance with terms of Debentures.
- 106 Computation of NMVC Company's Capital Impairment
- § 108.1830 NMVC Company's Capital Impairment definition and general requirements.
- § 108.1840 Computation of NMVC Company's Capital Impairment Percentage.
- Subpart L Ending Operations as a NMVC Company
- § 108.1900 Termination of participation as a NMVC Company.
- Subpart M Miscellaneous
- § 108.1910 Non-waiver of SBA's rights or terms of Leverage security.
- § 108.1920 NMVC Company's application for exemption from a regulation in this part 108.
- § 108.1930 Effect of changes in this part 108 on transactions previously consummated.
- § 108.1940 Procedures for designation of additional Low-Income Geographic Areas
- Subpart N Requirements and Procedures for Operational Assistance Grants to NMVC Companies and SSBICs
- § 108.2000 Operational Assistance Grants to NMVC Companies and SSBICs.
- § 108.2001 When and how SSBICs may apply for Operational Assistance grants.
- § 108.2002 Eligibility of SSBICs to apply for Operational Assistance grants.
- § 108.2003 Grant issuance fee for SSBICs.
- § 108.2004 Contents of application submitted by SSBICs.
- § 108.2005 Contents of plan submitted by SSBICs.
- § 108.2006 Evaluation and selection of SSBICs.
- § 108.2007 Grant award to SSBICs.
- § 108.2010 Restrictions on use of Operational Assistance grant funds.
- § 108.2020 Amount of Operational Assistance grant.
- § 108.2030 Matching requirements.
- § 108.2040 Reporting and recordkeeping requirements.
- PART 109 INTERMEDIARY LENDING PILOT PROGRAM
- Subpart A Introduction
- § 109.10 Description of the Intermediary Lending Pilot program.
- § 109.15 Severability.
- § 109.20 Definitions.
- Subpart B ILP Intermediary Application and Selection Process
- § 109.100 ILP Intermediary eligibility and continuing participation requirements.
- §§ 109.200-109.220 [Reserved]
- Subpart C ILP Program Requirements
- § 109.300 General.
- § 109.310 Terms of loans to ILP Intermediaries.
- § 109.320 ILP Loan purposes.
- § 109.330 ILP Relending Fund.
- § 109.340 Lending requirements.
- § 109.350 Maintenance of loan loss reserve.
- § 109.360 Recordkeeping and reporting requirements.
- Subpart D Requirements for ILP Intermediary Loans to Small Businesses
- § 109.400 Eligible Small Business Concerns.
- § 109.410 Loan limits—loans to Eligible Small Business Concerns.
- § 109.420 Terms of loans from ILP Intermediaries to Eligible Small Business Concerns.
- § 109.430 Loan purposes.
- § 109.440 Requirements imposed under other laws and orders.
- § 109.450 SBA review of ILP Intermediary loans to Eligible Small Business Concerns.
- § 109.460 Prohibition on sales of ILP Intermediary Loans to Eligible Small Business Concerns.
- Subpart E Oversight
- § 109.500 SBA access to ILP Intermediary files.
- § 109.510 Reviews.
- § 109.520 Events of default and revocation of authority to participate in the ILP program.
- § 109.530 Debarment and Suspension.
- PART 112 NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OF SBA—EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
- § 112.1 Purpose.
- § 112.2 Application of this part.
- § 112.3 Discrimination prohibited.
- § 112.4 Discrimination in employment.
- § 112.5 Discrimination in providing financial assistance.
- § 112.6 Discrimination in accommodations or services.
- § 112.7 Illustrative applications.
- § 112.8 Assurances required.
- § 112.9 Compliance information.
- § 112.10 Conduct of investigations.
- § 112.11 Procedure for effecting compliance.
- § 112.12 Effect on other regulations; forms and instructions.
- Appendix A Appendix A to Part 112
- PART 113 NONDISCRIMINATION IN FINANCIAL ASSISTANCE PROGRAMS OF SBA—EFFECTUATION OF POLICIES OF FEDERAL GOVERNMENT AND SBA ADMINISTRATOR
- Subpart A General Provisions
- § 113.1 Purpose.
- § 113.2 Definitions.
- § 113.3 Discrimination prohibited.
- § 113.3-1 Consideration of race, color, religion, sex, marital status, handicap, or national origin.
- § 113.3-2 Accommodations to religious observance and practice.
- § 113.3-3 Structural accommodations for handicapped clients.
- § 113.4 Assurances required.
- § 113.5 Compliance information.
- § 113.6 Conduct of investigations.
- § 113.7 Procedure for effecting compliance.
- § 113.8 Effect on other regulations, forms and instructions.
- Appendix A Appendix A to Subpart A of Part 113
- Subpart B Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance
- 113 Introduction
- § 113.100 Purpose and effective date.
- § 113.105 Definitions.
- § 113.110 Remedial and affirmative action and self-evaluation.
- § 113.115 Assurance required.
- § 113.120 Transfers of property.
- § 113.125 Effect of other requirements.
- § 113.130 Effect of employment opportunities.
- § 113.135 Designation of responsible employee and adoption of grievance procedures.
- § 113.140 Dissemination of policy.
- 114 Coverage
- § 113.200 Application.
- § 113.205 Educational institutions and other entities controlled by religious organizations.
- § 113.210 Military and merchant marine educational institutions.
- § 113.215 Membership practices of certain organizations.
- § 113.220 Admissions.
- § 113.225 Educational institutions eligible to submit transition plans.
- § 113.230 Transition plans.
- § 113.235 Statutory amendments.
- 115 Discrimination on the Basis of Sex in Admission and Recruitment Prohibited
- § 113.300 Admission.
- § 113.305 Preference in admission.
- § 113.310 Recruitment.
- 116 Discrimination on the Basis of Sex in Education Programs or Activities Prohibited
- § 113.400 Education programs or activities.
- § 113.405 Housing.
- § 113.410 Comparable facilities.
- § 113.415 Access to course offerings.
- § 113.420 Access to schools operated by LEAs.
- § 113.425 Counseling and use of appraisal and counseling materials.
- § 113.430 Financial assistance.
- § 113.435 Employment assistance to students.
- § 113.440 Health and insurance benefits and services.
- § 113.445 Marital or parental status.
- § 113.450 Athletics.
- § 113.455 Textbooks and curricular material.
- 117 Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited
- § 113.500 Employment.
- § 113.505 Employment criteria.
- § 113.510 Recruitment.
- § 113.515 Compensation.
- § 113.520 Job classification and structure.
- § 113.525 Fringe benefits.
- § 113.530 Marital or parental status.
- § 113.535 Effect of state or local law or other requirements.
- § 113.540 Advertising.
- § 113.545 Pre-employment inquiries.
- § 113.550 Sex as a bona fide occupational qualification.
- 118 Procedures
- § 113.600 Notice of covered programs.
- § 113.605 Enforcement procedures.
- PART 114 ADMINISTRATIVE CLAIMS UNDER THE FEDERAL TORT CLAIMS ACT AND REPRESENTATION AND INDEMNIFICATION OF SBA EMPLOYEES
- Subpart A Administrative Tort Claims
- § 114.100 Definitions.
- § 114.101 What do these regulations cover?
- § 114.102 When, where and how do I present a claim?
- § 114.103 Who may file a claim?
- § 114.104 What evidence and information may SBA require relating to my claim?
- § 114.105 Who investigates and considers my claim?
- § 114.106 What if my claim exceeds $5,000?
- § 114.107 What if my claim exceeds $25,000 or has other special features?
- § 114.108 What if my claim is approved?
- § 114.109 What if my claim is denied?
- Subpart B Representation and Indemnification of SBA Employees
- § 114.110 What is SBA's policy with respect to indemnifying and providing legal representation to SBA employees?
- § 114.111 Does the attorney-client privilege apply when SBA employees are represented by the Government?
- PART 115 SURETY BOND GUARANTEE
- § 115.1 Overview of regulations.
- § 115.2 Savings clause.
- § 115.3 Severability.
- Subpart A Provisions for All Surety Bond Guarantees
- § 115.10 Definitions.
- § 115.11 Applying to participate in the Surety Bond Guarantee Program.
- § 115.12 General program policies and provisions.
- § 115.13 Eligibility of Principal.
- § 115.14 Loss of Principal's eligibility for future assistance and reinstatement of Principal.
- § 115.15 Underwriting and servicing standards.
- § 115.16 Determination of Surety's Loss.
- § 115.17 Minimization of Surety's Loss.
- § 115.18 Refusal to issue further guarantees; suspension and termination of PSB status.
- § 115.19 Denial of liability.
- § 115.20 Insolvency of Surety.
- § 115.21 Audits and investigations.
- § 115.22 Quarterly Contract Completion Report.
- Subpart B Guarantees Subject to Prior Approval
- § 115.30 Submission of Surety's guarantee application.
- § 115.31 Guarantee percentage.
- § 115.32 Fees and Premiums.
- § 115.33 Surety bonding line.
- § 115.34 Minimization of Surety's Loss.
- § 115.35 Claims for reimbursement of Losses.
- § 115.36 Indemnity settlements.
- Subpart C Preferred Surety Bond (PSB) Guarantees
- § 115.60 Selection and admission of PSB Sureties.
- § 115.61 [Reserved]
- § 115.62 Prohibition on participation in Prior Approval program.
- § 115.63 Allotment of guarantee authority.
- § 115.64 Timeliness requirement.
- § 115.65 General PSB procedures.
- § 115.66 Fees.
- § 115.67 Changes in Contract or bond amount.
- § 115.68 Guarantee percentage.
- § 115.69 Imminent Breach.
- § 115.70 Claims for reimbursement of Losses.
- § 115.71 Denial of liability.
- PART 117 NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES OF SBA—EFFECTUATION OF THE AGE DISCRIMINATION ACT OF 1975, AS AMENDED
- § 117.1 Purpose.
- § 117.2 Application of this part.
- § 117.3 Definitions.
- § 117.4 Discrimination prohibited and exceptions.
- § 117.5 Illustrative applications.
- § 117.6 Remedial and affirmative action by recipients.
- § 117.7 Assurances required.
- § 117.8 Responsibilities of SBA recipients.
- § 117.9 Compliance information.
- § 117.10 Review procedures.
- § 117.11 Complaint procedures.
- § 117.12 Mediation.
- § 117.13 Investigation and resolution of matters.
- § 117.14 Intimidating or retaliatory acts prohibited.
- § 117.15 Procedure for effecting compliance.
- § 117.16 Hearings.
- § 117.17 Decisions and notices.
- § 117.18 Judicial review.
- § 117.19 Effect on other regulations.
- § 117.20 Supervision and coordination.
- Appendix A Appendix A to Part 11 1
- PART 119 PROGRAM FOR INVESTMENT IN MICROENTREPRENEURS (“PRIME” OR “THE ACT”)
- § 119.1 What is the Program for Investment in Microentrepreneurs (PRIME)?
- §§ 119.2-119.20 [Reserved]
- PART 120 BUSINESS LOANS
- 181 General Descriptions of SBA's Business Loan Programs
- § 120.1 Which loan programs does this part cover?
- § 120.2 Descriptions of the business loan programs.
- § 120.3 Pilot programs.
- § 120.4 Severability.
- 182 Definitions
- § 120.10 Definitions.
- Subpart A Policies Applying to All Business Loans
- 183 Eligibility Requirements
- § 120.100 What are the basic eligibility requirements for all applicants for SBA business loans?
- § 120.101 Credit not available elsewhere.
- § 120.102 [Reserved]
- § 120.104 Are businesses financed by SBICs eligible?
- § 120.105 Special consideration for veterans.
- 184 Ineligible Businesses and Eligible Passive Companies
- § 120.110 What businesses are ineligible for SBA business loans?
- § 120.111 What conditions must an Eligible Passive Company satisfy?
- 185 Uses of Proceeds
- § 120.120 What are eligible uses of proceeds?
- § 120.130 Restrictions on uses of proceeds.
- § 120.131 Leasing part of new construction or existing building to another business.
- 186 Ethical Requirements
- § 120.140 What ethical requirements apply to participants?
- 187 Credit Criteria for SBA Loans
- § 120.150 What are SBA's lending criteria?
- § 120.151 What is the statutory limit for total loans to a Borrower?
- § 120.160 Loan conditions.
- 188 Requirements Imposed Under Other Laws and Orders
- § 120.170 Flood insurance.
- § 120.171 Compliance with child support obligations.
- § 120.172 Flood-plain and wetlands management.
- § 120.174 Earthquake hazards.
- § 120.175 Coastal barrier islands.
- § 120.176 Compliance with other laws.
- 189 Applicability and Enforceability of Loan Program Requirements
- § 120.180 Compliance with Loan Program Requirements.
- § 120.181 Status of Lenders and CDCs.
- 190 Loan Applications
- § 120.190 Where does an applicant apply for a loan?
- § 120.191 The contents of a business loan application.
- § 120.192 Approval or denial.
- § 120.193 Reconsideration after denial.
- 191 Computerized SBA Forms
- § 120.194 [Reserved]
- 192 Reporting
- § 120.195 Disclosure of fees.
- § 120.197 Notifying SBA's Office of Inspector General of suspected fraud.
- Subpart B Policies Specific to 7(a) Loans
- 193 Bonding Requirements
- § 120.200 What bonding requirements exist during construction?
- 194 Limitations on Use of Proceeds
- § 120.201 Refinancing unsecured or undersecured loans.
- § 120.202 Loans for changes of ownership.
- 195 Maturities; Interest Rates; Loan and Guarantee Amounts
- § 120.210 What percentage of a loan may SBA guarantee?
- § 120.211 What limits are there on the amounts of direct loans?
- § 120.212 What limits are there on loan maturities?
- § 120.213 What fixed interest rates may a Lender charge?
- § 120.214 What conditions apply for variable interest rates?
- 196 Fees for Guaranteed Loans
- § 120.220 Fees that Lender pays SBA.
- § 120.221 Fees and expenses that the Lender may collect from a loan applicant or Borrower.
- § 120.222 Prohibition on sharing premiums for secondary market sales.
- § 120.223 Subsidy recoupment fee payable to SBA by Borrower.
- Subpart C Special Purpose Loans
- § 120.300 Statutory authority.
- 197 Disabled Assistance Loan Program (DAL)
- § 120.310 What assistance is available for the disabled?
- § 120.311 Definitions.
- § 120.312 DAL-1 use of proceeds and other program conditions.
- § 120.313 DAL-2 use of proceeds and other program conditions.
- § 120.314 Resolving doubts about creditworthiness.
- § 120.315 Interest rate and loan limit.
- 198 Businesses Owned by Low Income Individuals
- § 120.320 Policy.
- 199 Energy Conservation
- § 120.330 Who is eligible for an energy conservation loan?
- § 120.331 What devices or techniques are eligible for a loan?
- § 120.332 What are the eligible uses of proceeds?
- § 120.333 Are there any special credit criteria?
- 200 Export Working Capital Program (EWCP)
- § 120.340 What is the Export Working Capital Program?
- § 120.341 Who is eligible?
- § 120.342 What are eligible uses of proceeds?
- § 120.343 Collateral.
- § 120.344 Unique requirements of the EWCP.
- 201 International Trade Loans
- § 120.345 Policy.
- § 120.346 Eligibility.
- § 120.347 Use of proceeds.
- § 120.348 Amount of guarantee.
- § 120.349 Collateral.
- 202 Qualified Employee Trusts (ESOP)
- § 120.350 Policy.
- § 120.351 Definitions.
- § 120.352 Use of proceeds.
- § 120.353 Eligibility.
- § 120.354 Creditworthiness.
- 203 Veterans Loan Program
- § 120.360 Which veterans are eligible?
- § 120.361 Other conditions of eligibility.
- 204 Loans to Participants in the 8(a) Program
- § 120.375 Policy.
- § 120.376 Special requirements.
- § 120.377 Use of proceeds.
- 205 CapLines Program
- § 120.390 Revolving credit.
- 206 Builders Loan Program
- § 120.391 What is the Builders Loan Program?
- § 120.392 Who may apply?
- § 120.393 Are there special application requirements?
- § 120.394 What are the eligible uses of proceeds?
- § 120.395 What is SBA's collateral position?
- § 120.396 What is the term of the loan?
- § 120.397 Are there any special restrictions?
- 207 America's Recovery Capital (Business Stabilization) Loan Program—ARC Loan Program
- § 120.398 America's Recovery Capital (ARC) Loan Program.
- Subpart D Lenders
- § 120.400 Loan Guarantee Agreements.
- 208 Participation Criteria
- § 120.410 Requirements for all participating Lenders.
- § 120.411 Preferences.
- § 120.412 Other services Lenders may provide Borrowers.
- § 120.413 Advertisement of relationship with SBA.
- 209 Participating Lender Financings
- § 120.420 Definitions.
- § 120.421 Which Lenders may securitize?
- § 120.422 Are all securitizations subject to this subpart?
- § 120.423 Which 7(a) loans may a Lender securitize?
- § 120.424 What are the basic conditions a Lender must meet to securitize?
- § 120.425 What are the minimum elements that SBA will require before consenting to a securitization?
- § 120.426 What action will SBA take if a securitizer transfers the subordinated tranche prior to the termination of the holding period?
- § 120.427 Will SBA approve a securitization application from a capital impaired Securitizer?
- § 120.428 What happens to a securitizer's other PLP responsibilities if SBA suspends its PLP approval privilege?
- 210 Other Conveyances
- § 120.430 What conveyances are covered by §§ 120.430 through 120.435?
- § 120.431 Which Lenders may sell, sell participations in, or pledge 7(a) loans?
- § 120.432 Under what circumstances does this subpart permit sales of, or sales of participating interests in, 7(a) loans?
- § 120.433 What are SBA's other requirements for sales and sales of participating interests?
- § 120.434 What are SBA's requirements for loan pledges?
- § 120.435 Which loan pledges do not require notice to or consent by SBA?
- 211 Delegated Authority Criteria
- § 120.440 How does a 7(a) Lender obtain delegated authority?
- § 120.441-§ 120.447 [Reserved]
- 212 Preferred Lenders Program (PLP)
- § 120.450 What is the Preferred Lenders Program?
- § 120.451 [Reserved]
- § 120.452 What are the requirements of PLP loan processing?
- 213 SBA Supervised Lenders
- § 120.460 What are SBA's additional requirements for SBA Supervised Lenders?
- § 120.461 What are SBA's additional requirements for SBA Supervised Lenders concerning records?
- § 120.462 What are SBA's additional requirements on capital maintenance for SBA Supervised Lenders?
- § 120.463 Regulatory accounting—What are SBA's regulatory accounting requirements for SBA Supervised Lenders?
- § 120.464 Reports to SBA.
- § 120.465 Civil penalty for late submission of required reports.
- § 120.466 SBA Supervised Lender application.
- § 120.467 Evaluation of SBA Supervised Lender applicants.
- § 120.468 Change of ownership or control requirements for SBA Supervised Lenders.
- 214 Small Business Lending Companies (SBLC)
- § 120.470 What are SBA's additional requirements for SBLCs?
- § 120.471 What are the minimum capital requirements for SBLCs?
- § 120.472 Higher individual minimum capital requirement.
- § 120.473 Procedures for determining individual minimum capital requirement.
- § 120.474 Relation to other actions.
- § 120.475 [Reserved]
- § 120.476 Prohibited financing.
- § 120.490 Audits.
- Subpart E Servicing, Liquidation and Debt Collection Litigation of 7(a) and 504 Loans
- 215 SBA'S Purchase of a Guaranteed Portion
- § 120.520 Purchase of 7(a) loan guarantees.
- § 120.521 What interest rate applies after SBA purchases its guaranteed portion?
- § 120.522 Payment of accrued interest to the Lender or Registered Holder when SBA purchases the guaranteed portion.
- § 120.523 What is the “earliest uncured payment default”?
- § 120.524 When is SBA released from liability on its guarantee?
- § 120.530 Deferment of payment.
- § 120.531 Extension of maturity.
- § 120.535 Standards for Lender and CDC loan servicing, loan liquidation and debt collection litigation.
- § 120.536 Servicing and liquidation actions that require the prior written consent of SBA.
- § 120.540 Liquidation and litigation plans.
- § 120.541 Time for approval by SBA.
- § 120.542 Payment by SBA of legal fees and other expenses.
- § 120.545 What are SBA's policies concerning the liquidation of collateral and the sale of business loans and physical disaster assistance loans, physical disaster business loans and economic injury disaster loans?
- § 120.546 Loan asset sales.
- 216 Homestead Protection for Farmers
- § 120.550 What is homestead protection for farmers?
- § 120.551 Who is eligible for homestead protection?
- § 120.552 Lease.
- § 120.553 Appeal.
- § 120.554 Conflict of laws.
- Subpart F Secondary Market
- 217 Fiscal and Transfer Agent (FTA)
- § 120.600 Definitions.
- § 120.601 SBA Secondary Market.
- 218 Certificates
- § 120.610 Form and terms of Certificates.
- § 120.611 Pools backing Pool Certificates.
- § 120.612 Loans eligible to back Certificates.
- § 120.613 Secondary Participation Guarantee Agreement.
- 219 The SBA Guarantee of a Certificate
- § 120.620 SBA guarantee of a Pool Certificate.
- § 120.621 SBA guarantee of an Individual Certificate.
- 220 Pool Assemblers
- § 120.630 Qualifications to be a Pool Assembler.
- § 120.631 Suspension or termination of Pool Assembler.
- 221 Miscellaneous Provisions
- § 120.640 Administration of the Pool and Individual Certificates.
- § 120.641 Disclosure to purchasers.
- § 120.642 Requirements before the FTA issues Pool Certificates.
- § 120.643 Requirements before the FTA issues Individual Certificates.
- § 120.644 Transfers of Certificates.
- § 120.645 Redemption of Certificates.
- § 120.650 Registration duties of FTA in Secondary Market.
- § 120.651 Claim to FTA by Registered Holder to replace Certificate.
- § 120.652 FTA fees.
- 222 Suspension or Revocation of Participant in Secondary Market
- § 120.660 Suspension or revocation.
- Subpart G Microloan Program
- § 120.700 What is the Microloan Program?
- § 120.701 Definitions.
- § 120.702 Are there limitations on who can be an Intermediary or on where an Intermediary may operate?
- § 120.703 How does an organization apply to become an Intermediary?
- § 120.704 How are applications evaluated?
- § 120.705 What is a Specialized Intermediary?
- § 120.706 What are the terms and conditions of an SBA loan to an Intermediary?
- § 120.707 What conditions apply to loans by Intermediaries to Microloan borrowers?
- § 120.708 What is the Intermediary's financial contribution?
- § 120.709 What is the Microloan Revolving Fund?
- § 120.710 What is the Loan Loss Reserve Fund?
- § 120.711 What rules govern Intermediaries?
- § 120.712 How does an Intermediary get a grant to assist Microloan borrowers?
- § 120.713 Does SBA provide technical assistance to Intermediaries?
- §§ 120.714-120.715 [Reserved]
- § 120.716 What is the minimum number of loans an Intermediary must make each Federal fiscal year?
- Subpart H Development Company Loan Program (504)
- § 120.800 [Reserved]
- § 120.801 How a 504 Project is financed.
- § 120.802 Definitions.
- 223 Certification Procedures To Become a CDC
- § 120.810 Applications for certification as a CDC.
- § 120.812 Probationary period for newly certified CDCs.
- 224 Requirements for CDC Certification and Operation
- § 120.816 CDC non-profit status and good standing.
- § 120.818 Applicability to existing for-profit CDCs.
- § 120.820 CDC Affiliation.
- § 120.821 CDC Area of Operations.
- § 120.823 CDC Board of Directors.
- § 120.824 Professional management and staff, and contracts for services.
- § 120.825 Financial ability to operate.
- § 120.826 Basic requirements for operating a CDC.
- § 120.827 Other services a CDC may provide to small businesses.
- § 120.828 Minimum level of 504 loan activity and restrictions on portfolio concentrations.
- § 120.829 Job Opportunity average a CDC must maintain.
- § 120.830 Reports a CDC must submit.
- 225 Extending a CDC'S Area of Operations
- § 120.835 Application to expand an Area of Operations.
- § 120.837 SBA decision on application for a new CDC or for an existing CDC to expand Area of Operations.
- § 120.839 Case-by-case application to make a 504 loan outside of a CDC's Area of Operations.
- 226 Accredited Lenders Program (ALP)
- § 120.840 Accredited Lenders Program (ALP).
- § 120.841 Qualifications for the ALP.
- § 120.842 ALP Express Loans.
- 227 Premier Certified Lenders Program
- § 120.845 Premier Certified Lenders Program (PCLP).
- § 120.846 Requirements for maintaining and renewing PCLP status.
- § 120.847 Requirements for the Loan Loss Reserve Fund (LLRF).
- § 120.848 Requirements for 504 loan processing, closing, servicing, liquidating, and litigating by PCLP CDCs.
- 228 Other CDC Requirements
- § 120.851 CDC ethical requirements.
- § 120.852 [Reserved]
- § 120.853 Inspector General audits of CDCs.
- § 120.857 Voluntary transfer and surrender of CDC certification.
- 229 Project Economic Development Goals
- § 120.860 Required objectives.
- § 120.861 Job creation or retention.
- § 120.862 Other economic development objectives.
- 230 Leasing Policies Specific to 504 Loans
- § 120.870 Leasing Project Property.
- § 120.871 Leasing part of Project Property to another business.
- 231 Loan-Making Policies Specific to 504 Loans
- § 120.880 Basic eligibility requirements.
- § 120.881 Ineligible Projects for 504 loans.
- § 120.882 Eligible Project costs for 504 loans.
- § 120.883 Eligible administrative costs for 504 loans.
- § 120.884 Ineligible costs for 504 loans.
- 232 Interim Financing
- § 120.890 Source of interim financing.
- § 120.891 Certifications of disbursement and completion.
- § 120.892 Certifications of no adverse change.
- 233 Permanent Financing
- § 120.900 Sources of permanent financing.
- 234 The Borrower's Contribution
- § 120.910 Borrower contributions.
- § 120.911 Land contributions.
- § 120.912 Borrowed contributions.
- § 120.913 Limitations on any contributions by a Licensee.
- 235 Third Party Loans
- § 120.920 Required participation by the Third Party Lender.
- § 120.921 Terms of Third Party loans.
- § 120.922 Pre-existing debt on the Project Property.
- § 120.923 Policies on subordination.
- § 120.925 [Reserved]
- § 120.926 Referral fee.
- 236 504 Loans and Debentures
- § 120.930 Amount.
- § 120.931 504 Lending limits.
- § 120.932 Interest rate.
- § 120.933 Maturity.
- § 120.934 Collateral.
- § 120.935 Deposit from the Borrower that a CDC may require.
- § 120.937 Assumption.
- § 120.938 Default.
- § 120.939 Borrower prohibition.
- § 120.940 Prepayment of the 504 loan or Debenture.
- § 120.941 Certificates.
- 237 Debenture Sales and Service Agents
- § 120.950 SBA and CDC must appoint agents.
- § 120.951 Selling agent.
- § 120.952 Fiscal agent.
- § 120.953 Trustee.
- § 120.954 Central Servicing Agent.
- § 120.955 Agent bonds and records.
- § 120.956 Suspension or revocation of brokers and dealers.
- 238 Closings
- § 120.960 Responsibility for closing.
- § 120.961 Construction escrow accounts.
- 239 Servicing
- § 120.970 Servicing of 504 loans and Debentures.
- 240 Fees
- § 120.971 Allowable fees paid by Borrower.
- § 120.972 Third Party Lender participation fee and CDC fee.
- 241 Authority of CDCs To Perform Liquidation and Debt Collection Litigation
- § 120.975 CDC Liquidation of loans and debt collection litigation.
- 242 Enforceability of 501, 502 and 503 Loans and Other Laws
- § 120.990 501, 502 and 503 loans.
- § 120.991 Effect of other laws.
- Subpart I Risk-Based Lender Oversight
- 243 Supervision
- § 120.1000 Risk-Based Lender Oversight.
- § 120.1005 Bureau of PCLP Oversight.
- § 120.1010 SBA access to SBA Lender and Intermediary files.
- § 120.1015 Risk Rating System.
- § 120.1025 Monitoring.
- § 120.1050 Reviews and examinations.
- § 120.1051 Frequency of reviews and examinations.
- § 120.1055 Review and examination results.
- § 120.1060 Confidentiality of Reports, Risk Ratings and related Confidential Information.
- § 120.1070 SBA Lender oversight fees.
- 244 Enforcement Actions
- § 120.1300 Informal enforcement actions—7(a) Lenders.
- § 120.1400 Grounds for enforcement actions—SBA Lenders.
- § 120.1425 Grounds for formal enforcement actions—Intermediaries participating in the Microloan Program.
- § 120.1500 Types of formal enforcement actions—SBA Lenders.
- § 120.1510 Other Regulated SBLCs.
- § 120.1511 Certification and other reporting and notification requirements for Other Regulated SBLCs.
- § 120.1540 Types of formal enforcement actions—Intermediaries participating in the Microloan Program.
- § 120.1600 General procedures for formal enforcement actions against SBA Lenders, SBA Supervised Lenders, Other Regulated SBLCs, Management Officials, Other Persons, and Intermediaries.
- Subpart J Establishment of SBA Secondary Market Guarantee Program for First Lien Position 504 Loan Pools
- § 120.1700 Definitions used in subpart J.
- § 120.1701 Program purpose.
- § 120.1702 Program fee.
- § 120.1703 Qualifications to be a Pool Originator.
- § 120.1704 Pool Loans eligible for Pooling.
- § 120.1705 Pool formation requirements.
- § 120.1706 Pool Originator's retained interest in Pool.
- § 120.1707 Seller's retained Loan Interest.
- § 120.1708 Pool Certificates.
- § 120.1709 Transfers of Pool Certificates.
- § 120.1710 Central servicing of the Program.
- § 120.1711 Suspension or termination of Program participation privileges.
- § 120.1712 Seller responsibilities with respect to Seller's Pool Loan.
- § 120.1713 Seller's Pool Loan origination.
- § 120.1714 Seller's Pool Loan servicing.
- § 120.1715 Seller's Pool Loan liquidation.
- § 120.1716 Required SBA approval of servicing actions.
- § 120.1717 Seller's Pool Loan deferments.
- § 120.1718 SBA's right to assume Seller's responsibilities.
- § 120.1719 SBA's right to recover from Seller.
- § 120.1720 SBA's right to review Pool Loan documents.
- § 120.1721 SBA's right to investigate.
- § 120.1722 SBA's offset rights.
- § 120.1723 Pool Loan receivables received by Seller.
- § 120.1724 Servicing and liquidation expenses.
- § 120.1725 No Program Preference by Seller or Pool Originator.
- § 120.1726 Pool Certificates a Seller cannot purchase.
- PART 121 SMALL BUSINESS SIZE REGULATIONS
- Subpart A Size Eligibility Provisions and Standards
- 257 Provisions of General Applicability
- § 121.101 What are SBA size standards?
- § 121.102 How does SBA establish size standards?
- § 121.103 How does SBA determine affiliation?
- § 121.104 How does SBA calculate annual receipts?
- § 121.105 How does SBA define “business concern or concern”?
- § 121.106 How does SBA calculate number of employees?
- § 121.107 How does SBA determine a concern's “primary industry”?
- § 121.108 What are the penalties for misrepresentation of size status?
- § 121.109 What is a small business status advisory opinion?
- § 121.110 What must a concern do in order to be identified as a small business concern in any Federal procurement databases?
- 258 Size Standards Used To Define Small Business Concerns
- § 121.201 What size standards has SBA identified by North American Industry Classification System codes?
- 259 Size Eligibility Requirements For SBA Financial Assistance
- § 121.301 What size standards and affiliation principles are applicable to financial assistance programs?
- § 121.302 When does SBA determine the size status of an applicant?
- § 121.303 What size procedures are used by SBA before it makes a formal size determination?
- § 121.304 What are the size requirements for refinancing an existing SBA loan?
- § 121.305 What size eligibility requirements exist for obtaining financial assistance relating to particular procurements?
- 260 Size Eligibility Requirements for Government Procurement
- § 121.401 What procurement programs are subject to size determinations?
- § 121.402 What size standards are applicable to Federal Government Contracting programs?
- § 121.403 Are SBA size determinations and NAICS code designations binding on parties?
- § 121.404 When is the size status of a business concern determined?
- § 121.405 May a business concern self-certify its small business size status?
- § 121.406 How does a small business concern qualify to provide manufactured products or other supply items under a small business set-aside, service-disabled veteran-owned small business, HUBZone, WOSB or EDWOSB, or 8(a) contract?
- § 121.407 What are the size procedures for multiple item procurements?
- § 121.408 What are the size procedures for SBA's Certificate of Competency Program?
- § 121.409 What size standard applies in an unrestricted procurement for Certificate of Competency purposes?
- § 121.410 What are the size standards for SBA's Section 8(d) Subcontracting Program?
- § 121.411 What are the size procedures for SBA's Section 8(d) Subcontracting Program?
- § 121.412 What are the size procedures for partial small business set-asides?
- 261 Size Eligibility Requirements for Sales or Lease of Government Property
- § 121.501 What programs for sales or leases of Government property are subject to size determinations?
- § 121.502 What size standards are applicable to programs for sales or leases of Government property?
- § 121.503 Are SBA size determinations binding on parties?
- § 121.504 When does SBA determine the size status of a business concern?
- § 121.505 What is the effect of a self-certification?
- § 121.506 What definitions are important for sales or leases of Government-owned timber?
- § 121.507 What are the size standards and other requirements for the purchase of Government-owned timber (other than Special Salvage Timber)?
- § 121.508 What are the size standards and other requirements for the purchase of Government-owned Special Salvage Timber?
- § 121.509 What is the size standard for leasing of Government land for coal mining?
- § 121.510 What is the size standard for leasing of Government land for uranium mining?
- § 121.511 What is the size standard for buying Government-owned petroleum?
- § 121.512 What is the size standard for stockpile purchases?
- 262 Size Eligibility Requirements for the 8(a) Business Development Program
- § 121.601 What is a small business for purposes of admission to SBA's 8(a) Business Development program?
- § 121.602 At what point in time must a 8(a) BD applicant be small?
- § 121.603 How does SBA determine whether a Participant is small for a particular 8(a) BD subcontract?
- § 121.604 Are 8(a) BD Participants considered small for purposes of other SBA assistance?
- 263 Size and Eligibility Requirements for the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs
- § 121.701 What SBIR and STTR programs are subject to size and eligibility determinations and what definitions are important?
- § 121.702 What size and eligibility standards are applicable to the SBIR and STTR programs?
- § 121.703 Are formal size determinations binding on parties?
- § 121.704 When does SBA determine the size and eligibility status of a business concern?
- § 121.705 Must a business concern self-certify its size and eligibility status?
- 264 Size Eligibility Requirements for Paying Reduced Patent Fees
- § 121.801 May patent fees be reduced if a concern is small?
- § 121.802 What size standards are applicable to reduced patent fees programs?
- § 121.803 Are formal size determinations binding on parties?
- § 121.804 When does SBA determine the size status of a business concern?
- § 121.805 May a business concern self-certify its size status?
- 265 Size Eligibility Requirements for Compliance With Programs of Other Agencies
- § 121.901 Can other Government agencies obtain SBA size determinations?
- § 121.902 What size standards are applicable to programs of other agencies?
- § 121.903 How may an agency use size standards for its programs that are different than those established by SBA?
- § 121.904 When does SBA determine the size status of a business concern?
- 266 Procedures for Size Protests and Requests for Formal Size Determinations
- § 121.1001 Who may initiate a size protest or request a formal size determination?
- § 121.1002 Who makes a formal size determination?
- § 121.1003 Where should a size protest be filed?
- § 121.1004 What time limits apply to size protests?
- § 121.1005 How must a protest be filed with the contracting officer?
- § 121.1006 When will a size protest be referred to an SBA Government Contracting Area Office?
- § 121.1007 Must a protest of size status relate to a particular procurement and be specific?
- § 121.1008 What occurs after SBA receives a size protest or request for a formal size determination?
- § 121.1009 What are the procedures for making the size determination?
- § 121.1010 How does a concern become recertified as a small business?
- 267 Appeals of Size Determinations and NAICS Code Designations
- § 121.1101 Are formal size determinations subject to appeal?
- § 121.1102 Are NAICS code designations subject to appeal?
- § 121.1103 What are the procedures for appealing a NAICS code or size standard designation?
- Subpart B Other Applicable Provisions
- 268 Waivers of the Nonmanufacturer Rule for Classes of Products and Individual Contracts
- § 121.1201 What is the Nonmanufacturer Rule?
- § 121.1202 When will a waiver of the Nonmanufacturer Rule be granted for a class of products?
- § 121.1203 When will a waiver of the Nonmanufacturer Rule be granted for an individual contract?
- § 121.1204 What are the procedures for requesting and granting waivers?
- § 121.1205 How is a list of previously granted class waivers obtained?
- § 121.1206 How will potential offerors be notified of applicable waivers?
- Appendix A to Part 121 Paycheck Protection Program Sample Addendum A
- PART 123 DISASTER LOAN PROGRAM
- Subpart A Overview
- § 123.1 What do these rules cover?
- § 123.2 What are disaster loans and disaster declarations?
- § 123.3 How are disaster declarations made?
- § 123.4 What is a disaster area and why is it important?
- § 123.5 What kinds of loans are available?
- § 123.6 What does SBA look for when considering a disaster loan applicant?
- § 123.7 Are there restrictions on how disaster loans can be used?
- § 123.8 Does SBA charge any fees for obtaining a disaster loan?
- § 123.9 What happens if I don't use loan proceeds for the intended purpose?
- § 123.10 What happens if I cannot use my insurance proceeds to make repairs?
- § 123.11 Does SBA require collateral for any of its disaster loans?
- § 123.12 Are books and records required?
- § 123.13 What happens if my loan application is denied?
- § 123.14 How does the Federal Debt Collection Procedures Act of 1990 apply?
- § 123.15 What if I change my mind?
- § 123.16 How are loans administered and serviced?
- § 123.17 Do other Federal requirements apply?
- § 123.18 Can I request an increase in the amount of a physical disaster loan?
- § 123.19 May I request an increase in the amount of an economic injury loan?
- § 123.20 How long do I have to request an increase in the amount of a physical disaster loan or an economic injury loan?
- § 123.21 What is a mitigation measure?
- § 123.22 Severability.
- Subpart B Home Disaster Loans
- § 123.100 Am I eligible to apply for a home disaster loan?
- § 123.101 When am I not eligible for a home disaster loan?
- § 123.102 What circumstances would justify my relocating?
- § 123.103 What happens if I am forced to move from my home?
- § 123.104 What interest rate will I pay on my home disaster loan?
- § 123.105 How much can I borrow with a home disaster loan and what limits apply on use of funds and repayment terms?
- § 123.106 What is eligible refinancing?
- § 123.107 How much can I borrow for post-disaster mitigation for my home?
- § 123.108 How do the SBA disaster loan program and the FEMA grant programs interact?
- Subpart C Physical Disaster Business Loans
- § 123.200 Am I eligible to apply for a physical disaster business loan?
- § 123.201 When am I not eligible to apply for a physical disaster business loan?
- § 123.202 How much can my business borrow with a physical disaster business loan?
- § 123.203 What interest rate will my business pay on a physical disaster business loan and what are the repayment terms?
- § 123.204 How much can your business borrow for post-disaster mitigation?
- Subpart D Economic Injury Disaster Loans
- § 123.300 Is my business eligible to apply for an economic injury disaster loan?
- § 123.301 When would my business not be eligible to apply for an economic injury disaster loan?
- § 123.302 What is the interest rate on an economic injury disaster loan?
- § 123.303 How can my business spend my economic injury disaster loan?
- § 123.304 Is there a limit on the maximum loan amount to a single corporate group for COVID EIDL Loans?
- Subpart E [Reserved]
- Subpart F Military Reservist Economic Injury Disaster Loans
- § 123.500 Definitions.
- § 123.501 Under what circumstances is your business eligible to be considered for a Military Reservist Economic Injury Disaster Loan?
- § 123.502 Under what circumstances is your business ineligible to be considered for a Military Reservist Economic Injury Disaster Loan?
- § 123.503 When can you apply for a Military Reservist EIDL?
- § 123.504 How do you apply for a Military Reservist EIDL?
- § 123.505 What if you are both an essential employee and the owner of the small business and you started active service before applying for a Military Reservist EIDL?
- § 123.506 How much can you borrow under the Military Reservist EIDL Program?
- § 123.507 Under what circumstances will SBA consider waiving the $2 million loan limit?
- § 123.508 How can you use Military Reservist EIDL funds?
- § 123.509 What can't you use Military Reservist EIDL funds for?
- § 123.510 What if you don't use your Military Reservist EIDL funds as authorized?
- § 123.511 How will SBA disburse Military Reservist EIDL funds?
- § 123.512 What is the interest rate on a Military Reservist EIDL?
- § 123.513 Does SBA require collateral on its Military Reservist EIDL?
- Subpart G [Reserved]
- Subpart H Immediate Disaster Assistance Program
- § 123.700 What is the Immediate Disaster Assistance Program?
- § 123.701 What is the application procedure for an IDAP loan?
- § 123.702 What are the eligibility requirements for an IDAP loan?
- § 123.703 What are the terms of an IDAP loan?
- § 123.704 Are there restrictions on how IDAP loan funds may be used?
- § 123.705 Are there any fees associated with IDAP loans?
- § 123.706 What are the requirements for IDAP Lenders?
- Subpart I Interaction With Non-Federal Requirements
- § 123.800 Purpose.
- § 123.801 Definitions.
- § 123.802 Scope and applicability.
- § 123.803 Federal preemption.
- § 123.804 Supersession of State or Local Requirements.
- § 123.805 Certifications as to State and Local Compliance.
- § 123.806 Interference with SBA Disaster Loan Usage.
- § 123.807 Severability.
- § 123.808 Applicability date.
- PART 124 8(a) BUSINESS DEVELOPMENT/SMALL DISADVANTAGED BUSINESS STATUS DETERMINATIONS
- Subpart A 8(a) Business Development
- 277 Provisions of General Applicability
- § 124.1 What is the purpose of the 8(a) Business Development program?
- § 124.2 What length of time may a business participate in the 8(a) BD program?
- § 124.3 What definitions are important in the 8(a) BD program?
- 278 Eligibility Requirements for Participation in the 8(a) Business Development Program
- § 124.101 What are the basic requirements a concern must meet for the 8(a) BD program?
- § 124.102 What size business is eligible to participate in the 8(a) BD program?
- § 124.103 Who is socially disadvantaged?
- § 124.104 Who is economically disadvantaged?
- § 124.105 What does it mean to be unconditionally owned by one or more disadvantaged individuals?
- § 124.106 When do disadvantaged individuals control an applicant or Participant?
- § 124.107 What is potential for success?
- § 124.108 What other eligibility requirements apply for individuals or businesses?
- § 124.109 Do Indian tribes and Alaska Native Corporations have any special rules for applying to and remaining eligible for the 8(a) BD program?
- § 124.110 Do Native Hawaiian Organizations (NHOs) have any special rules for applying to and remaining eligible for the 8(a) BD program?
- § 124.111 Do Community Development Corporations (CDCs) have any special rules for applying to and remaining eligible for the 8(a) BD program?
- § 124.112 What criteria must a business meet to remain eligible to participate in the 8(a) BD program?
- 279 Applying to the 8(a) BD Program
- § 124.201 May any business submit an application?
- § 124.202 How must an application be filed?
- § 124.203 What must a concern submit to apply to the 8(a) BD program?
- § 124.204 How does SBA process applications for 8(a) BD program admission?
- § 124.205 Can an applicant ask SBA to reconsider SBA's initial decision to decline its application?
- § 124.206 What appeal rights are available to an applicant that has been denied admission?
- § 124.207 Can an applicant reapply for admission to the 8(a) BD program?
- 280 Exiting the 8(a) BD Program
- § 124.300 What are the ways a business may leave the 8(a) BD program?
- § 124.301 Voluntary withdrawal or voluntary early graduation.
- § 124.302 What is graduation and what is early graduation?
- § 124.303 What is termination?
- § 124.304 What are the procedures for early graduation and termination?
- § 124.305 What is suspension and how is a Participant suspended from the 8(a) BD program?
- 281 Business Development
- § 124.401 Which SBA field office services a Participant?
- § 124.402 How does a Participant develop a business plan?
- § 124.403 How is a business plan updated and modified?
- § 124.404 What business development assistance is available to Participants during the two stages of participation in the 8(a) BD program?
- § 124.405 How does a Participant obtain Federal Government surplus property?
- 282 Contractual Assistance
- § 124.501 What general provisions apply to the award of 8(a) contracts?
- § 124.502 How does an agency offer a procurement to SBA for award through the 8(a) BD program?
- § 124.503 How does SBA accept a procurement for award through the 8(a) BD program?
- § 124.504 What circumstances limit SBA's ability to accept a procurement for award as an 8(a) contract, and when can a requirement be released from the 8(a) BD program?
- § 124.505 When will SBA appeal the terms or conditions of a particular 8(a) contract or a procuring activity decision not to use the 8(a) BD program?
- § 124.506 At what dollar threshold must an 8(a) procurement be competed among eligible Participants?
- § 124.507 What procedures apply to competitive 8(a) procurements?
- § 124.508 How is an 8(a) contract executed?
- § 124.509 What are non-8(a) business activity targets?
- § 124.510 What limitations on subcontracting apply to an 8(a) contract?
- § 124.511 How is fair market price determined for an 8(a) contract?
- § 124.512 Delegation of contract administration to procuring agencies.
- § 124.513 Under what circumstances can a joint venture be awarded an 8(a) contract?
- § 124.514 Exercise of 8(a) options and modifications.
- § 124.515 Can a Participant change its ownership or control and continue to perform an 8(a) contract, and can it transfer performance to another firm?
- § 124.516 [Reserved]
- § 124.517 Can the eligibility or size of a Participant for award of an 8(a) contract be questioned?
- § 124.518 How can an 8(a) contract be terminated or novated before performance is completed?
- § 124.519 Are there any dollar limits on the amount of 8(a) contracts that a Participant may receive?
- § 124.520 Can 8(a) BD Program Participants participate in SBA's Mentor-Protégé program?
- § 124.521 What are the requirements for representing 8(a) status, and what are the penalties for misrepresentation?
- 283 Miscellaneous Reporting Requirements
- § 124.601 What reports does SBA require concerning parties who assist Participants in obtaining federal contracts?
- § 124.602 What kind of annual financial statement must a Participant submit to SBA?
- § 124.603 What reports regarding the continued business operations of former Participants does SBA require?
- § 124.604 Report of benefits for firms owned by Tribes, ANCs, NHOs and CDCs.
- 284 Management and Technical Assistance Program
- § 124.701 What is the purpose of the 7(j) management and technical assistance program?
- § 124.702 What types of assistance are available through the 7(j) program?
- § 124.703 Who is eligible to receive 7(j) assistance?
- § 124.704 What additional management and technical assistance is reserved exclusively for concerns eligible to receive 8(a) contracts?
- Subpart B Eligibility, Certification, and Protests Relating to Federal Small Disadvantaged Business Programs
- § 124.1001 What is a Small Disadvantaged Business?
- § 124.1002 Reviews and protests of SDB status.
- PART 125 GOVERNMENT CONTRACTING PROGRAMS
- § 125.1 What definitions are important to SBA's Government Contracting Programs?
- § 125.2 What are SBA's and the procuring agency's responsibilities when providing contracting assistance to small businesses?
- § 125.3 What types of subcontracting assistance are available to small businesses?
- § 125.4 What is the Government property sales assistance program?
- § 125.5 What is the Certificate of Competency Program?
- § 125.6 What are the prime contractor's limitations on subcontracting?
- § 125.7 Acquisition-related dollar thresholds.
- § 125.8 What requirements must a joint venture satisfy to submit an offer for a procurement or sale set aside or reserved for small business?
- § 125.9 What are the rules governing SBA's small business mentor-protégé program?
- § 125.10 Mentor-Protégé programs of other agencies.
- § 125.11 Past performance ratings for certain small business concerns.
- § 125.12 Recertification of Size and Small Business Program Status.
- § 125.13 What restrictions apply to fees for representatives of applicants and participants in SBA's 8(a) BD, HUBZone, WOSB and VetCert programs?
- PART 126 HUBZONE PROGRAM
- Subpart A Provisions of General Applicability
- § 126.100 What is the purpose of the HUBZone program?
- § 126.101 Which government departments or agencies are affected directly by the HUBZone program?
- § 126.102 What is the effect of the HUBZone program on the section 8(d) subcontracting program?
- § 126.103 What definitions are important in the HUBZone program?
- § 126.104 How can a Governor petition for the designation of a Governor-designated cover area?
- § 126.105 How often will the HUBZone Map be updated?
- Subpart B Requirements To Be a Certified HUBZone Small Business Concern
- § 126.200 What requirements must a concern meet to be eligible as a certified HUBZone small business concern?
- § 126.201 Who does SBA consider to be an owner of a HUBZone small business concern?
- § 126.202 Who does SBA consider to control a HUBZone small business concern?
- § 126.203 [Reserved]
- § 126.204 May a HUBZone small business concern have affiliates?
- § 126.205 May participants in other SBA programs be certified as HUBZone small business concerns?
- § 126.206 May nonmanufacturers be certified as HUBZone small business concerns?
- § 126.207 Do all of the offices or facilities of a certified HUBZone small business concern have to be located in a HUBZone?
- Subpart C Certification
- § 126.300 How may a concern be certified as a HUBZone small business concern?
- § 126.301 Is there any other way for a concern to obtain certification?
- § 126.302 When may a concern apply for certification?
- § 126.303 Where must a concern submit its application for certification?
- § 126.304 What must a concern submit to SBA in order to be certified as a HUBZone small business concern?
- § 126.305 [Reserved]
- § 126.306 How will SBA process an application for HUBZone certification?
- § 126.307 Where is there a list of certified HUBZone small business concerns?
- § 126.308 What happens if a HUBZone small business concern receives notice of its certification but it does not appear in DSBS as a certified HUBZone small business concern?
- § 126.309 May a declined or decertified concern apply for certification at a later date?
- Subpart D Program Examinations
- § 126.400 Who will conduct program examinations?
- § 126.401 What is a program examination?
- § 126.402 When will SBA conduct program examinations?
- § 126.403 What will SBA review during a program examination?
- § 126.404 What are the possible outcomes of a program examination and when will SBA make its determination?
- Subpart E Maintaining HUBZone Status
- § 126.500 How does a concern maintain HUBZone certification?
- § 126.501 What are a certified HUBZone small business concern's ongoing obligations to SBA?
- § 126.502 Is there a limit to the length of time a concern may be a certified HUBZone small business concern?
- § 126.503 What happens if SBA is unable to verify a HUBZone small business concern's eligibility or determines that a concern is no longer eligible for the program?
- § 126.504 When will SBA remove the designation of a concern in DSBS (or successor system) as a certified HUBZone small business concern?
- Subpart F Contracting With Certified HUBZone Small Business Concerns
- § 126.600 What are HUBZone contracts?
- § 126.601 What additional requirements must a certified HUBZone small business concern meet to submit an offer on a HUBZone contract?
- § 126.602 Must a certified HUBZone small business concern maintain the HUBZone employee residency percentage during contract performance?
- § 126.603 Does HUBZone certification guarantee receipt of HUBZone contracts?
- § 126.604 Who decides if a contract opportunity for HUBZone set-aside competition exists?
- § 126.605 What requirements are not available for HUBZone contracts?
- § 126.606 May a procuring activity request that SBA release a requirement from the 8(a) BD program for award as a HUBZone contract?
- § 126.607 When may a contracting officer set aside a requirement for certified HUBZone small business concerns?
- § 126.608 Are there HUBZone contract opportunities at or below the simplified acquisition threshold or micropurchase threshold?
- § 126.609 Can a HUBZone competition be limited or authorize preferences to small business concerns having additional socioeconomic certifications?
- § 126.610 May SBA appeal a contracting officer's decision not to make a procurement available for award as a HUBZone contract?
- § 126.611 What is the process for an appeal of a contracting officer's decision not to issue a procurement as a HUBZone contract?
- § 126.612 When may a contracting officer award sole source contracts to HUBZone small business concerns?
- § 126.613 How does a price evaluation preference affect the bid of a certified HUBZone small business concern in full and open competition?
- § 126.614 [Reserved]
- § 126.615 May an other than small business participate on a HUBZone contract?
- § 126.616 What requirements must a joint venture satisfy to submit an offer and be eligible to perform on a HUBZone contract?
- § 126.617 Who decides contract disputes arising between a certified HUBZone small business concern and a contracting activity after the award of a HUBZone contract?
- § 126.618 How does a certified HUBZone small business concern's participation in a Mentor-Protégé relationship affect its participation in the HUBZone Program?
- § 126.619 When must a certified HUBZone small business concern recertify its status for a HUBZone contract?
- Subpart G Limitations on Subcontracting Requirements
- § 126.700 What are the limitations on subcontracting requirements for HUBZone contracts?
- § 126.701 Can the limitations on subcontracting requirements change?
- § 126.702 How can the subcontracting percentage requirements be changed?
- Subpart H Protests
- § 126.800 Who may protest the status of a certified HUBZone small business concern?
- § 126.801 How does an interested party file a HUBZone status protest?
- § 126.802 Who decides a HUBZone status protest?
- § 126.803 How will SBA process a HUBZone status protest and what are the possible outcomes?
- § 126.804 Will SBA decide all HUBZone status protests?
- § 126.805 What are the procedures for appeals of HUBZone status protest determinations?
- Subpart I Penalties
- § 126.900 What are the requirements for representing HUBZone status, and what are the penalties for misrepresentation?
- PART 127 WOMEN-OWNED SMALL BUSINESS FEDERAL CONTRACT PROGRAM
- Subpart A General Provisions
- § 127.100 What is the purpose of this part?
- § 127.101 What type of assistance is available under this part?
- § 127.102 What are the definitions of the terms used in this part?
- Subpart B Eligibility Requirements To Qualify as an EDWOSB or WOSB
- § 127.200 What are the requirements a concern must meet to qualify as an EDWOSB or WOSB?
- § 127.201 What are the requirements for ownership of an EDWOSB and WOSB?
- § 127.202 What are the requirements for control of an EDWOSB or WOSB?
- § 127.203 What are the rules governing the requirement that economically disadvantaged women must own EDWOSBs?
- Subpart C Certification of EDWOSB or WOSB Status
- 285 Certification
- § 127.300 How is a concern certified as an EDWOSB or WOSB?
- § 127.301 When may a concern apply for certification?
- § 127.302 Where can a concern apply for certification?
- § 127.303 What must a concern submit for certification?
- § 127.304 How is an application for certification processed?
- § 127.305 May declined or decertified concerns apply for certification at a later date?
- 286 Requirements for Third-Party Certifiers
- § 127.350 What is a third-party certifier?
- § 127.351 What third-party certifications may a concern use as evidence of its status as a qualified EDWOSB or WOSB?
- § 127.352 What is the process for becoming a third-party certifier?
- § 127.353 May third-party certifiers charge a fee?
- § 127.354 What requirements must a third-party certifier follow to demonstrate capability to certify concerns?
- § 127.355 How will SBA ensure that approved third-party certifiers are meeting the requirements?
- § 127.356 How does a concern obtain certification from an approved certifier?
- Subpart D Eligibility Examinations
- § 127.400 How does a concern maintain its WOSB or EDWOSB certification?
- § 127.401 What are a WOSB's and EDWOSB's ongoing obligations to SBA?
- § 127.402 What is a program examination, who will conduct it, and what will SBA examine?
- § 127.403 When will SBA conduct program examinations?
- § 127.404 May SBA require additional information from a WOSB or EDWOSB during a program examination?
- § 127.405 What happens if SBA determines that the concern is no longer eligible for the program?
- Subpart E Federal Contract Assistance
- § 127.500 In what industries is a contracting officer authorized to restrict competition or make a sole source award under this part?
- § 127.501 How will SBA determine the industries that are eligible for EDWOSB or WOSB requirements?
- § 127.502 How will SBA identify and provide notice of the designated industries?
- § 127.503 When is a contracting officer authorized to restrict competition or award a sole source contract or order under this part?
- § 127.504 What requirements must an EDWOSB or WOSB meet to be eligible for an EDWOSB or WOSB requirement?
- § 127.505 [Reserved]
- § 127.506 May a joint venture submit an offer on an EDWOSB or WOSB requirement?
- § 127.507 Are there EDWOSB and WOSB contracting opportunities at or below the simplified acquisition threshold?
- § 127.508 May SBA appeal a contracting officer's decision not to make a requirement available for award as a WOSB Program contract?
- § 127.509 What is the process for such an appeal?
- Subpart F Protests
- § 127.600 Who may protest the status of a concern as an EDWOSB or WOSB?
- § 127.601 May a protest challenging the size and status of a concern as an EDWOSB or WOSB be filed together?
- § 127.602 What are the grounds for filing an EDWOSB or WOSB status protest?
- § 127.603 What are the requirements for filing an EDWOSB or WOSB status protest?
- § 127.604 How will SBA process an EDWOSB or WOSB status protest?
- § 127.605 What are the procedures for appealing an EDWOSB or WOSB status protest decision?
- Subpart G Penalties
- § 127.700 What are the requirements for representing EDWOSB or WOSB status, and what are the penalties for misrepresentation?
- PART 128 VETERAN SMALL BUSINESS CERTIFICATION PROGRAM
- Subpart A Provisions of General Applicability
- § 128.100 What is the purpose of this part?
- § 128.101 What type of assistance is available under this part?
- § 128.102 What definitions are important in the Veteran Small Business Certification Program?
- Subpart B Eligibility Requirements for the Veteran Small Business Certification Program
- § 128.200 What are the requirements a concern must meet to qualify as a VOSB or SDVOSB?
- § 128.201 What other eligibility requirements apply for certification as a VOSB or SDVOSB?
- § 128.202 Who does SBA consider to own a VOSB or SDVOSB?
- § 128.203 Who does SBA consider to control a VOSB or SDVOSB?
- § 128.204 What size standards apply to VOSBs and SDVOSBs?
- Subpart C Certification of VOSB or SDVOSB Status
- § 128.300 How is a concern certified as a VOSB or SDVOSB?
- § 128.301 Where must an application be filed?
- § 128.302 How does SBA process applications for certification?
- § 128.303 What must a concern submit to apply for VOSB or SDVOSB certification?
- § 128.304 Can an Applicant appeal SBA's initial decision to deny an application?
- § 128.305 May declined or decertified concerns apply for recertification at a later date?
- § 128.306 How does a concern maintain its VOSB or SDVOSB certification?
- § 128.307 What are a Participant's ongoing obligations to SBA?
- § 128.308 What is a program examination and what will SBA examine?
- § 128.309 What are the ways a Participant may exit the Veteran Small Business Certification Program?
- § 128.310 What are the procedures for decertification?
- Subpart D Federal Contract Assistance
- § 128.400 What are VOSB and SDVOSB contracts?
- § 128.401 What requirements must a VOSB or SDVOSB meet to submit an offer on a contract?
- § 128.402 When may a joint venture submit an offer on a VOSB or SDVOSB contract?
- § 128.403 What requirements are not available for VOSB or SDVOSB contracts?
- § 128.404 When may a contracting officer set aside a procurement for VOSBs or SDVOSBs?
- § 128.405 When may a contracting officer award a sole source contract to a VOSBs or SDVOSB?
- § 128.406 Are there VOSB or SDVOSB contracting opportunities at or below the simplified acquisition threshold?
- § 128.407 May SBA appeal a contracting officer's decision not to make a procurement available for award as a SDVOSB contract?
- § 128.408 What is the process for such an appeal?
- Subpart E Protests Concerning VOSBs and SDVOSBs
- § 128.500 What are the requirements for filing a VOSB or SDVOSB status protest?
- Subpart F Penalties and Retention of Records
- § 128.600 What are the requirements for representing VOSB or SDVOSB status, and what are the penalties for misrepresentation?
- Subpart G Surplus Personal Property for Veteran-Owned Small Business Programs
- § 128.700 How does a VOSB obtain Federal surplus personal property?
- PART 129 CONTRACTS FOR SMALL BUSINESSES LOCATED IN DISASTER AREAS, AND SURPLUS PERSONAL PROPERTY FOR SMALL BUSINESSES LOCATED IN DISASTER AREAS, PUERTO RICO, AND COVERED TERRITORY BUSINESSES
- Subpart A Contracts for Small Businesses Located in Disaster Areas
- § 129.100 What definitions are important in this part?
- § 129.101 What contracting preferences are available for small business concerns located in disaster areas?
- § 129.102 What small business goaling credit do agencies receive for awarding an emergency response contract to a small business concern under this part?
- § 129.103 What are the applicable performance requirements?
- § 129.104 What are the penalties of misrepresentation of size or status?
- Subpart B Surplus Personal Property for Small Businesses Located in Disaster Areas
- § 129.200 What definitions are important in this subpart?
- § 129.201 How does a small business concern located in a disaster area obtain Federal surplus personal property?
- Subpart C Surplus Personal Property for Small Businesses Located in Puerto Rico and for Covered Territory Businesses
- § 129.300 What definitions are important in this subpart?
- § 129.301 How does a covered territory business or small business concern located in Puerto Rico obtain Federal surplus personal property?
- PART 130 SMALL BUSINESS DEVELOPMENT CENTERS
- § 130.100 Introduction.
- § 130.110 Definitions.
- § 130.200 Eligible entities.
- § 130.300 Small Business Development Centers (SBDCs).
- § 130.310 Area of service.
- § 130.320 Operating requirements.
- § 130.330 SBDC services and restrictions on service.
- § 130.340 Specific program responsibilities.
- § 130.350 SBDC advisory boards.
- § 130.360 Selection of the SBDC Lead Center Director.
- § 130.370 Contracts with other Federal agencies.
- § 130.380 Client privacy.
- § 130.400 Application procedures.
- § 130.410 New applications.
- § 130.420 Renewal applications.
- § 130.430 Application decisions.
- § 130.440 Maximum grant.
- § 130.450 Matching funds.
- § 130.460 Budget justification.
- § 130.465 Restricted and prohibited costs.
- § 130.470 Fees.
- § 130.480 Program income.
- § 130.490 Property standard.
- § 130.500 Funding.
- § 130.600 Cooperative agreement.
- § 130.610 General terms.
- § 130.620 Revisions and amendments to cooperative agreements.
- § 130.630 Dispute resolution procedures.
- § 130.700 Suspension, termination, and non-renewal.
- § 130.800 Oversight of the SBDC Program.
- § 130.810 SBA review authority.
- § 130.820 Records and recordkeeping.
- § 130.825 Reports.
- § 130.830 Audits and investigations.
- § 130.840 Closeout procedures.
- PART 131 WOMEN'S BUSINESS CENTER PROGRAM
- § 131.100 Introduction.
- § 131.110 Definitions.
- § 131.200 Eligible entities.
- § 131.300 Women's Business Centers (WBCs).
- § 131.310 Operating requirements.
- § 131.320 Area of service.
- § 131.330 WBC services and restrictions on services.
- § 131.340 Specific WBC program responsibilities.
- § 131.350 Selection and retention of the WBC Program Director.
- § 131.400 Grant administration and cost principles.
- § 131.410 Maximum grant.
- § 131.420 Carryover of Federal funds.
- § 131.430 Matching funds.
- § 131.440 Program income and fees.
- § 131.450 Budget justification.
- § 131.460 Restricted and prohibited costs.
- § 131.500 Oversight of the WBC program.
- § 131.510 SBA review authority.
- § 131.520 Audits, examinations, and investigations.
- § 131.600 Cooperative agreement and contracts.
- § 131.610 Other Federal grants.
- § 131.620 Revisions and amendments to cooperative agreements.
- § 131.630 Suspension, termination, and non-renewal.
- § 131.640 Dispute procedures.
- § 131.650 Closeout procedures.
- PART 134 RULES OF PROCEDURE GOVERNING CASES BEFORE THE OFFICE OF HEARINGS AND APPEALS
- Subpart A General Rules
- § 134.101 Definitions.
- § 134.102 Jurisdiction of OHA.
- § 134.103 [Reserved]
- Subpart B Rules of Practice
- § 134.201 Scope of the rules in this subpart.
- § 134.202 Commencement of cases.
- § 134.203 The appeal petition.
- § 134.204 Filing and service requirements.
- § 134.205 The appeal file, confidential information, and protective orders.
- § 134.206 The answer or response.
- § 134.207 Amendments and supplemental pleadings.
- § 134.208 Representation in cases before OHA.
- § 134.209 Requirement of signature.
- § 134.210 Intervention.
- § 134.211 Motions.
- § 134.212 Summary judgment.
- § 134.213 Discovery.
- § 134.214 Subpoenas.
- § 134.215 Interlocutory appeals.
- § 134.216 Alternative dispute resolution procedures.
- § 134.217 Settlement.
- § 134.218 Judges.
- § 134.219 Sanctions.
- § 134.220 Prohibition against ex parte communications.
- § 134.221 Prehearing conferences.
- § 134.222 Oral hearing.
- § 134.223 Evidence.
- § 134.224 [Reserved]
- § 134.225 The record.
- § 134.226 The decision.
- § 134.227 Finality of decisions.
- § 134.228 Review of initial decisions.
- § 134.229 Termination of jurisdiction.
- Subpart C Rules of Practice for Appeals From Size Determinations and NAICS Code Designations
- § 134.301 Scope of the rules in this subpart C.
- § 134.302 Who may appeal.
- § 134.303 Advisory opinions.
- § 134.304 Commencement of appeals from size determinations and NAICS code designations.
- § 134.305 The appeal petition.
- § 134.306 Transmission of the case file and solicitation.
- § 134.307 Service and filing requirements.
- § 134.308 Limitation on new evidence and adverse inference from non-submission in appeals from size determinations.
- § 134.309 Response to an appeal petition.
- § 134.310 Discovery.
- § 134.311 Oral hearings.
- § 134.312 Evidence.
- § 134.313 Applicability of subpart B provisions.
- § 134.314 Standard of review and burden of proof.
- § 134.315 The record.
- § 134.316 The decision.
- § 134.317 [Reserved]
- § 134.318 NAICS appeals.
- Subpart D Rules of Practice for Appeals Under the 8(a) Program
- § 134.401 Scope of the rules in this subpart D.
- § 134.402 Appeal petition.
- § 134.403 Service of appeal petition.
- § 134.404 Deadline for filing appeal petition.
- § 134.405 Jurisdiction.
- § 134.406 Review of the administrative record.
- § 134.407 Evidence beyond the record and discovery.
- § 134.408 Summary decision.
- § 134.409 Decision on appeal.
- Subpart E [Reserved]
- Subpart F Implementation of the Equal Access to Justice Act
- § 134.601 What is the purpose of this subpart?
- § 134.602 Under what circumstances may I apply for reimbursement?
- § 134.603 What is an adversary adjudication?
- § 134.604 What benefits may I claim?
- § 134.605 Under what circumstances are fees and expenses reimbursable?
- § 134.606 Who is eligible for possible reimbursement?
- § 134.607 How do I know which eligibility requirement applies to me?
- § 134.608 What are the special rules for calculating net worth and number of employees?
- § 134.609 What is the difference between a fee and an expense?
- § 134.610 Are there limitations on reimbursement for fees and expenses?
- § 134.611 What should I include in my application for an award?
- § 134.612 What must a net worth exhibit contain?
- § 134.613 What documentation do I need for fees and expenses?
- § 134.614 What deadlines apply to my application for an award and where do I send it?
- § 134.615 How will proceedings relating to my application for fees and expenses be conducted?
- § 134.616 How will I know if I receive an award?
- § 134.617 May I seek review of the ALJ's decision on my award?
- § 134.618 How are awards paid?
- Subpart G Rules of Practice for Appeals From Women-Owned Small Business Concern (WOSB) and Economically Disadvantaged WOSB Concern (EDWOSB) Protests
- § 134.701 What is the scope of the rules in this subpart G?
- § 134.702 Who may appeal?
- § 134.703 When must a person file an appeal from an WOSB or EDWOSB protest determination?
- § 134.704 What are the effects of the appeal on the procurement at issue?
- § 134.705 What are the requirements for an appeal petition?
- § 134.706 What are the service and filing requirements?
- § 134.707 When does the D/GC transmit the protest file and to whom?
- § 134.708 What is the standard of review?
- § 134.709 When will a Judge dismiss an appeal?
- § 134.710 Who can file a response to an appeal petition and when must such a response be filed?
- § 134.711 Will the Judge permit discovery and oral hearings?
- § 134.712 What are the limitations on new evidence?
- § 134.713 When is the record closed?
- § 134.714 When must the Judge issue his or her decision?
- § 134.715 Can a Judge reconsider his decision?
- Subpart H Rules of Practice for Employee Disputes
- § 134.801 Scope of rules.
- § 134.802 [Reserved]
- § 134.803 Commencement of appeals from SBA Employee Dispute Resolution Process cases (Employee Disputes).
- § 134.804 The appeal petition.
- § 134.805 After the appeal petition is filed.
- § 134.806 Mediation.
- § 134.807 SBA response.
- § 134.808 The decision.
- § 134.809 Review of initial decision.
- Subpart I Rules of Practice for Petitions for Reconsideration of Size Standards
- § 134.901 Scope of the rules in this subpart.
- § 134.902 Standing.
- § 134.903 Commencement of cases.
- § 134.904 Requirements for the Size Standard Petition.
- § 134.905 Notice and order.
- § 134.906 Intervention.
- § 134.907 Filing and service.
- § 134.908 The administrative record.
- § 134.909 Standard of review.
- § 134.910 Dismissal.
- § 134.911 Response to the Size Standard Petition.
- § 134.912 Discovery and oral hearings.
- § 134.913 New evidence.
- § 134.914 The decision.
- § 134.915 Remand.
- § 134.916 Effects of OHA's decision.
- § 134.917 Equal Access to Justice Act.
- § 134.918 Judicial review.
- Subpart J Rules of Practice for Protests of Eligibility for Inclusion in the SBA Veteran Small Business Certification Program Database (VOSB or SDVOSB Status Protests)
- § 134.1001 Scope of rules.
- § 134.1002 Who may file a VOSB or SDVOSB status protest?
- § 134.1003 Grounds for filing a VOSB or SDVOSB status protest.
- § 134.1004 Commencement of VOSB or SDVOSB status protests.
- § 134.1005 Contents of the VOSB or SDVOSB status protest.
- § 134.1006 Service and filing requirements.
- § 134.1007 Processing a VOSB or SDVOSB status protest.
- § 134.1008 Discovery.
- § 134.1009 Oral hearings.
- § 134.1010 Standard of review and burden of proof.
- § 134.1011 Weight of evidence.
- § 134.1012 The record.
- § 134.1013 Request for reconsideration.
- Subpart K Rules of Practice for Appeals of Denials of Certification and Decertification in the SBA Veteran Small Business Certification Program (VOSB or SDVOSB Appeals)
- § 134.1101 Scope of rules.
- § 134.1102 Who may file a VOSB or SDVOSB Appeal?
- § 134.1103 Grounds for filing a VOSB or SDVOSB Appeal.
- § 134.1104 Commencement of VOSB or SDVOSB Appeal.
- § 134.1105 The appeal petition.
- § 134.1106 Service and filing requirements.
- § 134.1107 Transmission of the case file.
- § 134.1108 Response to an appeal petition.
- § 134.1109 Discovery and oral hearings.
- § 134.1110 New evidence.
- § 134.1111 Standard of review and burden of proof.
- § 134.1112 The decision.
- Subpart L Borrower Appeals of Final SBA Loan Review Decisions
- § 134.1201 Scope of the rules in this subpart.
- § 134.1202 Commencement of appeals of final SBA loan review decisions.
- § 134.1203 Standing.
- § 134.1204 The appeal petition.
- § 134.1205 Dismissal.
- § 134.1206 Notice and Order.
- § 134.1207 The administrative record.
- § 134.1208 Response to an appeal petition.
- § 134.1209 Evidence beyond the record, discovery, and oral hearings.
- § 134.1210 Standard of review.
- § 134.1211 Decision on appeal.
- § 134.1212 Effects of the decision.
- § 134.1213 Equal Access to Justice Act.
- § 134.1214 Confidential information.
- Subpart M Rules of Practice for Appeals of Protest Determinations Regarding the Status of a Concern as a Certified HUBZone Small Business Concern
- § 134.1301 What is the scope of the rules in this subpart?
- § 134.1302 Who may appeal a HUBZone status protest determination?
- § 134.1303 What time limits apply to filing an appeal from a HUBZone status protest determination?
- § 134.1304 What are the effects of the filing of an appeal on the procurement at issue?
- § 134.1305 What are the requirements for an appeal petition?
- § 134.1306 What are the service and filing requirements?
- § 134.1307 What are the requirements for transmitting the protest file?
- § 134.1308 What is the standard of review?
- § 134.1309 When will a Judge dismiss an appeal?
- § 134.1310 Who can file a response to an appeal petition and when must such a response be filed?
- § 134.1311 Will the Judge permit discovery and oral hearings?
- § 134.1312 What are the limitations on the introduction of new evidence?
- § 134.1313 When is the record closed?
- § 134.1314 When must the Judge issue the decision?
- § 134.1315 What are the effects of the Judge's decision on the procurement at issue?
- § 134.1316 Can a Judge reconsider an appeal decision?
- PART 136 ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE SMALL BUSINESS ADMINISTRATION
- § 136.101 Purpose.
- § 136.102 Application.
- § 136.103 Definitions.
- §§ 136.104-136.109 [Reserved]
- § 136.110 Self-evaluation.
- § 136.111 Notice.
- §§ 136.112-136.129 [Reserved]
- § 136.130 General prohibition against discrimination.
- §§ 136.131-136.139 [Reserved]
- § 136.140 Employment.
- §§ 136.141-136.148 [Reserved]
- § 136.149 Program accessibility: Discrimination prohibited.
- § 136.150 Program accessibility: Existing facilities.
- § 136.151 Program accessibility: New construction and alterations.
- §§ 136.152-136.159 [Reserved]
- § 136.160 Communications.
- §§ 136.161-136.169 [Reserved]
- § 136.170 Compliance procedures.
- PART 140 DEBT COLLECTION
- Subpart A Overview
- § 140.1 What does this part cover?
- Subpart B Offset
- § 140.2 What is a debt and how can the SBA collect it through offset?
- § 140.3 What rights do you have when SBA tries to collect a debt from you through offset?
- Subpart C Administrative Wage Garnishment
- § 140.11 What type of debt is subject to administrative wage garnishment, and how can SBA administratively garnish your pay?
- PART 142 ADMINISTRATIVE FALSE CLAIMS ACT REGULATIONS
- 287 Overview and Definitions
- § 142.1 Overview of regulations.
- § 142.2 What kind of conduct will result in program fraud enforcement?
- § 142.3 What is a claim?
- § 142.4 What is a statement?
- § 142.5 What is a false claim or statement?
- § 142.6 What does the phrase “know or have reason to know” mean?
- 288 Procedures Leading to Issuance of a Complaint
- § 142.7 Who investigates program fraud?
- § 142.8 What happens if program fraud is suspected?
- § 142.9 When will SBA issue a complaint?
- § 142.10 What is contained in a complaint?
- § 142.11 How will the complaint be served?
- 289 Procedures Following Service of a Complaint
- § 142.12 How does a defendant respond to the complaint?
- § 142.13 What happens if a defendant fails to file an answer?
- § 142.14 What happens once an answer is filed?
- 290 Hearing Provisions
- § 142.15 What kind of hearing is contemplated?
- § 142.16 At the hearing, what rights do the parties have?
- § 142.17 What is the role of the ALJ?
- § 142.18 Can the reviewing official or ALJ be disqualified?
- § 142.19 How are issues brought to the attention of the ALJ?
- § 142.20 How are papers served?
- § 142.21 How will the hearing be conducted and who has the burden of proof?
- § 142.22 How is evidence presented at the hearing?
- § 142.23 Are there limits on disclosure of documents or discovery?
- § 142.24 Can witnesses be subpoenaed?
- § 142.25 Can a party or witness object to discovery?
- § 142.26 Can a party informally discuss the case with the ALJ?
- § 142.27 Are there sanctions for misconduct?
- § 142.28 Where is the hearing held?
- § 142.29 Are witness lists exchanged before the hearing?
- 291 Decisions and Appeals
- § 142.30 How is the case decided?
- § 142.31 Can a party request reconsideration of the initial decision?
- § 142.32 When does the initial decision of the ALJ become final?
- § 142.33 What are the procedures for appealing the ALJ decision?
- § 142.34 Are there any limitations on the right to appeal to the Administrator?
- § 142.35 How does the Administrator dispose of an appeal?
- § 142.36 Can I obtain judicial review?
- § 142.37 What judicial review is available?
- § 142.38 Can the administrative complaint be settled voluntarily?
- § 142.39 How are civil penalties and assessments collected?
- § 142.40 What if the investigation indicates criminal misconduct?
- § 142.41 How does SBA protect the rights of defendants?
- 143 PART 143 [RESERVED]
- PART 146 NEW RESTRICTIONS ON LOBBYING
- Subpart A General
- § 146.100 Conditions on use of funds.
- § 146.105 Definitions.
- § 146.110 Certification and disclosure.
- Subpart B Activities by Own Employees
- § 146.200 Agency and legislative liaison.
- § 146.205 Professional and technical services.
- § 146.210 Reporting.
- Subpart C Activities by Other Than Own Employees
- § 146.300 Professional and technical services.
- Subpart D Penalties and Enforcement
- § 146.400 Penalties.
- § 146.405 Penalty procedures.
- § 146.410 Enforcement.
- Subpart E Exemptions
- § 146.500 Secretary of Defense.
- Subpart F Agency Reports
- § 146.600 Semi-annual compilation.
- § 146.605 Inspector General report.
- 0
- Appendix A to Part 146 Certification Regarding Lobbying
- Appendix B to Part 146 Disclosure Form To Report Lobbying
- PART 147 GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (NONPROCUREMENT)
- Subpart A Purpose and Coverage
- § 147.100 What does this part do?
- § 147.105 Does this part apply to me?
- § 147.110 Are any of my Federal assistance awards exempt from this part?
- § 147.115 Does this part affect the Federal contracts that I receive?
- Subpart B Requirements for Recipients Other Than Individuals
- § 147.200 What must I do to comply with this part?
- § 147.205 What must I include in my drug-free workplace statement?
- § 147.210 To whom must I distribute my drug-free workplace statement?
- § 147.215 What must I include in my drug-free awareness program?
- § 147.220 By when must I publish my drug-free workplace statement and establish my drug-free awareness program?
- § 147.225 What actions must I take concerning employees who are convicted of drug violations in the workplace?
- § 147.230 How and when must I identify workplaces?
- Subpart C Requirements for Recipients Who Are Individuals
- § 147.300 What must I do to comply with this part if I am an individual recipient?
- § 147.301 [Reserved]
- Subpart D Responsibilities of SBA Awarding Officials
- § 147.400 What are my responsibilities as a(n) SBA awarding official?
- Subpart E Violations of this Part and Consequences
- § 147.500 How are violations of this part determined for recipients other than individuals?
- § 147.505 How are violations of this part determined for recipients who are individuals?
- § 147.510 What actions will the Federal Government take against a recipient determined to have violated this part?
- § 147.515 Are there any exceptions to those actions?
- Subpart F Definitions
- § 147.605 Award.
- § 147.610 Controlled substance.
- § 147.615 Conviction.
- § 147.620 Cooperative agreement.
- § 147.625 Criminal drug statute.
- § 147.630 Debarment.
- § 147.635 Drug-free workplace.
- § 147.640 Employee.
- § 147.645 Federal agency or agency.
- § 147.650 Grant.
- § 147.655 Individual.
- § 147.660 Recipient.
- § 147.665 State.
- § 147.670 Suspension.
- 148-199 PARTS 148-199 [RESERVED]
- CHAPTER III ECONOMIC DEVELOPMENT ADMINISTRATION, DEPARTMENT OF COMMERCE
- PART 300 GENERAL INFORMATION
- § 300.1 Introduction and mission.
- § 300.2 EDA Headquarters and regional offices.
- § 300.3 Definitions.
- PART 301 ELIGIBILITY, INVESTMENT RATE AND APPLICATION REQUIREMENTS
- Subpart A General
- § 301.1 Overview of eligibility requirements.
- Subpart B Applicant Eligibility
- § 301.2 Applicant eligibility.
- Subpart C Economic Distress Criteria
- § 301.3 Economic distress levels.
- Subpart D Investment Rates and Matching Share Requirements
- § 301.4 Investment rates.
- § 301.5 Matching share requirements.
- § 301.6 [Reserved]
- Subpart E Application Requirements; Evaluation Criteria
- § 301.7 Investment Assistance application.
- § 301.8 Application evaluation criteria.
- § 301.9 Application selection criteria.
- § 301.10 Formal application requirements.
- § 301.11 Infrastructure.
- PART 302 GENERAL TERMS AND CONDITIONS FOR INVESTMENT ASSISTANCE
- § 302.1 Environment.
- § 302.2 Procedures in disaster areas.
- § 302.3 Project servicing for loans, loan guaranties and Investment Assistance.
- § 302.6 [Reserved]
- § 302.7 Amendments and changes.
- § 302.8 Pre-approval Investment Assistance costs.
- § 302.9 Inter-governmental review of projects.
- § 302.10 Attorneys' and consultants' fees, employment of expediters, and post-employment restriction.
- § 302.12 [Reserved]
- § 302.13 Maintenance of standards.
- § 302.15 [Reserved]
- § 302.16 Accountability.
- § 302.17 Conflicts of interest.
- § 302.18 Post-approval requirements.
- § 302.19 Indemnification.
- § 302.20 Civil rights.
- PART 303 PLANNING INVESTMENTS AND COMPREHENSIVE ECONOMIC DEVELOPMENT STRATEGIES
- Subpart A General
- § 303.1 Overview of EDA's Planning Program.
- § 303.2 Definitions.
- § 303.3 Application requirements and evaluation criteria.
- § 303.4 Award requirements.
- § 303.5 [Reserved]
- Subpart B Partnership Planning Assistance
- § 303.6 Partnership Planning and the EDA-funded CEDS process.
- § 303.7 Requirements for Comprehensive Economic Development Strategies.
- Subpart C State and Short-Term Planning Assistance
- § 303.8 Requirements for State plans.
- § 303.9 Requirements for short-term Planning Investments.
- PART 304 ECONOMIC DEVELOPMENT DISTRICTS
- § 304.1 Designation of Economic Development Districts: Regional eligibility.
- § 304.2 District Organizations: Formation, organizational requirements and operations.
- § 304.3 District modification and termination.
- § 304.4 Performance evaluations.
- PART 305 PUBLIC WORKS AND ECONOMIC DEVELOPMENT INVESTMENTS
- Subpart A General
- § 305.1 Purpose and scope.
- § 305.2 Award requirements.
- § 305.3 Application requirements.
- § 305.4 Projects for design and engineering work.
- Subpart B Requirements for Approved Projects
- § 305.5 Project administration by District Organization.
- § 305.6 Allowable methods of procurement for construction services.
- § 305.7 Services performed by the Recipient's own forces.
- § 305.8 Recipient-furnished equipment and materials.
- § 305.9 Project phasing and Investment disbursement.
- § 305.10 Bid underrun and overrun.
- § 305.11 Contract awards; early construction start.
- § 305.12 [Reserved]
- § 305.13 Contract change orders.
- § 305.14 [Reserved]
- PART 306 TRAINING, RESEARCH AND TECHNICAL ASSISTANCE INVESTMENTS
- Subpart A Local and National Technical Assistance
- § 306.1 Purpose and scope.
- § 306.2 Award requirements.
- § 306.3 Application requirements.
- Subpart B University Center Economic Development Program
- § 306.4 Purpose and scope.
- § 306.5 Award requirements.
- § 306.6 Application requirements.
- § 306.7 Performance evaluations of University Centers.
- PART 307 ECONOMIC ADJUSTMENT ASSISTANCE INVESTMENTS
- Subpart A General
- § 307.1 Purpose.
- § 307.2 Criteria for Economic Adjustment Assistance Investments.
- § 307.3 Use of Economic Adjustment Assistance Investments.
- § 307.4 Award requirements.
- § 307.5 Application requirements.
- Subpart B Revolving Loan Fund Program
- § 307.6 Revolving Loan Funds established for lending.
- § 307.7 Revolving Loan Fund award requirements.
- § 307.8 Definitions.
- § 307.9 Revolving Loan Fund Plan.
- § 307.10 Pre-loan requirements.
- § 307.11 Pre-disbursement requirements and disbursement of funds to Revolving Loan Funds.
- § 307.12 Revolving Loan Fund Income requirements during the Revolving Phase; payments on defaulted and written off Revolving Loan Fund loans; Voluntarily Contributed Capital.
- § 307.13 Records and retention.
- § 307.14 Revolving Loan Fund report.
- § 307.15 Prudent management of Revolving Loan Funds.
- § 307.16 Risk Analysis System.
- § 307.17 Requirements for Revolving Loan Fund Cash Available for Lending.
- § 307.18 Addition of lending areas; consolidation and merger of RLFs.
- § 307.19 RLF loan portfolio Sales and Securitizations.
- § 307.20 Noncompliance.
- § 307.21 Remedies for noncompliance.
- § 307.22 Variances.
- PART 308 PERFORMANCE INCENTIVES
- § 308.1 Use of funds in Projects constructed under projected cost.
- § 308.2 Performance awards.
- § 308.3 Planning performance awards.
- PART 309 REDISTRIBUTIONS OF INVESTMENT ASSISTANCE
- § 309.1 Redistributions under parts 303, 305 and 306.
- § 309.2 Redistributions under part 307.
- PART 310 SPECIAL IMPACT AREAS
- § 310.1 Special Impact Area.
- § 310.2 Pressing need; alleviation of unemployment or underemployment.
- 311 PART 311 [RESERVED]
- PART 312 REGIONAL INNOVATION PROGRAM
- Subpart A General Provisions
- § 312.1 Purpose and scope of the Regional Innovation Program.
- § 312.2 General definitions from Public Works and Economic Development Act regulations inapplicable to this part.
- § 312.3 General definitions.
- Subpart B Regional Innovation Strategies Program
- § 312.4 Purpose and scope of the Regional Innovation Strategies Program.
- § 312.5 Regional Innovation Strategies Program definitions.
- § 312.6 Eligible recipients.
- § 312.7 Eligible project activities.
- § 312.8 Investment rates.
- § 312.9 Matching share requirements.
- § 312.10 Application components.
- § 312.11 Application evaluation and selection criteria.
- § 312.12 General terms and conditions for investment assistance.
- Subpart C Regional Innovation Research and Information Program [Reserved]
- §§ 312.13-312.17 [Reserved]
- 313 PART 313 [RESERVED]
- PART 314 PROPERTY
- § 314.1 Definitions.
- § 314.2 Federal Interest.
- § 314.3 Authorized use of Project Property.
- § 314.4 Unauthorized Use of Project Property.
- § 314.5 Federal Share.
- § 314.6 Encumbrances.
- § 314.7 Title.
- § 314.8 Recorded statement for Project Real Property.
- § 314.9 Recorded statement for Project Personal Property.
- § 314.10 Procedures for release of the Federal Interest.
- PART 315 TRADE ADJUSTMENT ASSISTANCE FOR FIRMS
- Subpart A General Provisions
- § 315.1 Purpose and scope.
- § 315.2 Definitions.
- § 315.3 Confidential Business Information.
- Subpart B TAAC Provisions
- § 315.4 TAAC selection and operation.
- § 315.5 The role and geographic coverage of the TAACs.
- Subpart C Certification of Firms
- § 315.6 Certification requirements.
- § 315.7 Processing petitions for certification.
- § 315.8 Hearings.
- § 315.9 Loss of certification benefits.
- § 315.10 Appeals, final determinations, and termination of certification.
- Subpart D Adjustment Proposals
- § 315.11 Adjustment Proposal process.
- § 315.12 Adjustment Proposal requirements.
- Subpart E Protective Provisions
- § 315.13 Persons engaged by Firms to expedite petitions and Adjustment Proposals.
- § 315.14 Conflicts of interest.
- Subpart F International Trade Commission Investigations
- § 315.15 Affirmative findings.
- 316-399 PARTS 316-399 [RESERVED]
- CHAPTER IV EMERGENCY STEEL GUARANTEE LOAN BOARD
- PART 400 EMERGENCY STEEL GUARANTEE LOAN PROGRAM
- Subpart A General
- § 400.1 Purpose.
- § 400.2 Definitions.
- Subpart B Board Procedures
- § 400.100 Purpose and scope.
- § 400.101 Composition of the Board.
- § 400.102 Authority of the Board.
- § 400.103 Offices.
- § 400.104 Meetings and actions of the Board.
- § 400.105 Staff.
- § 400.106 Ex parte communications.
- § 400.107 Freedom of Information Act.
- § 400.108 Restrictions on lobbying.
- § 400.109 Government-wide debarment and suspension (nonprocurement).
- § 400.110 Amendments.
- Subpart C Steel Guarantee Loans
- § 400.200 Eligible Borrower.
- § 400.201 Eligible Lender.
- § 400.202 Loan amount.
- § 400.203 Guarantee percentage.
- § 400.204 Loan terms.
- § 400.205 Application process.
- § 400.206 Environmental requirements.
- § 400.207 Application evaluation.
- § 400.208 Issuance of the Guarantee.
- § 400.209 Funding for the Program.
- § 400.210 Assignment or transfer of loans.
- § 400.211 Lender responsibilities.
- § 400.212 Guarantee.
- § 400.213 Termination of obligations.
- § 400.214 Participations in guaranteed loans.
- § 400.215 Supplemental Guarantees.
- 401-499 PARTS 401-499 [RESERVED]
- CHAPTER V EMERGENCY OIL AND GAS GUARANTEED LOAN BOARD
- PART 500 EMERGENCY OIL AND GAS GUARANTEED LOAN PROGRAM
- Subpart A General
- § 500.1 Purpose.
- § 500.2 Definitions.
- Subpart B Board Procedures
- § 500.100 Purpose and scope.
- § 500.101 Composition of the Board.
- § 500.102 Authority of the Board.
- § 500.103 Offices.
- § 500.104 Meetings and actions of the Board.
- § 500.105 Staff.
- § 500.106 Ex parte communications.
- § 500.107 Freedom of Information Act.
- § 500.108 Restrictions on lobbying.
- § 500.109 Government-wide debarment and suspension (nonprocurement).
- § 500.110 Amendments.
- Subpart C Oil and Gas Guaranteed Loans
- § 500.200 Eligible Borrower.
- § 500.201 Eligible Lender.
- § 500.202 Loan amount.
- § 500.203 Guarantee percentage.
- § 500.204 Loan terms.
- § 500.205 Application process.
- § 500.206 Environmental requirements.
- § 500.207 Application evaluation.
- § 500.208 Issuance of the Guarantee.
- § 500.209 Funding for the Program.
- § 500.210 Assignment or transfer of loans.
- § 500.211 Lender responsibilities.
- § 500.212 Liquidation.
- § 500.213 Termination of obligations.
- § 500.214 OMB control number. [Reserved]
- 501-599 PARTS 501-599 [RESERVED]