[Federal Register Volume 80, Number 117 (Thursday, June 18, 2015)]
[Unknown Section]
[Pages 35098-35107]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-14371]
[[Page 35097]]
Vol. 80
Thursday,
No. 117
June 18, 2015
Part XVII
Small Business Administration
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Unified Agenda
Federal Register / Vol. 80 , No. 117 / Thursday, June 18, 2015 /
Unified Agenda
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SMALL BUSINESS ADMINISTRATION
13 CFR Ch. I
Semiannual Regulatory Agenda
AGENCY: U.S. Small Business Administration (SBA).
ACTION: Semiannual regulatory agenda.
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SUMMARY: This Regulatory Agenda is a semiannual summary of all current
and projected rulemakings and completed actions of the Small Business
Administration (SBA). SBA expects that this summary information will
enable the public to be more aware of, and effectively participate in,
SBA's regulatory activity. SBA invites the public to submit comments on
any aspect of this Agenda.
FOR FURTHER INFORMATION CONTACT:
General
Please direct general comments or inquiries to Imelda A. Kish, Law
Librarian, U.S. Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, (202) 205-6849, [email protected].
Specific
Please direct specific comments and inquiries on individual
regulatory activities identified in this Agenda to the individual
listed in the summary of the regulation as the point of contact for
that regulation.
SUPPLEMENTARY INFORMATION: SBA provides this notice under the
requirements of the Regulatory Flexibility Act, 5 U.S.C. sections 601
to 612 and Executive Order 12866, ``Regulatory Planning and Review,''
which require each agency to publish a semiannual agenda of
regulations. The Regulatory Agenda is a summary of all current and
projected Agency rulemakings, as well as actions completed since the
publication of the last Regulatory Agenda. SBA's last Semiannual
Regulatory Agenda was published on December 22, 2014, at 79 FR 76788.
The Semiannual Agenda of the SBA conforms to the Unified Agenda format
developed by the Regulatory Information Service Center.
Beginning with the fall 2007 edition, the Unified Agenda has been
disseminated via the Internet. The complete Unified Agenda will be
available online at www.reginfo.gov in a format that greatly enhances a
user's ability to obtain information about the rules in SBA's Agenda.
The Regulatory Flexibility Act requires federal agencies to publish
their regulatory flexibility agendas in the Federal Register.
Therefore, SBA's printed agenda entries include regulatory actions that
are in the SBA's regulatory flexibility agenda because they are likely
to have a significant economic impact on a substantial number of small
entities. Printing of these entries is limited to fields that contain
information required by the Regulatory Flexibility Act's Agenda
requirements. Additional information on these entries is available in
the Unified Agenda published on the Internet.
Maria Contreras-Sweet,
Administrator.
Small Business Administration--Prerule Stage
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Regulation
Sequence No. Title Identifier No.
------------------------------------------------------------------------
224....................... Small Business Timber Set 3245-AG69
Aside Program.
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Small Business Administration--Proposed Rule Stage
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Regulation
Sequence No. Title Identifier No.
------------------------------------------------------------------------
225....................... Small Business Development 3245-AE05
Center Program Revisions.
226....................... Loan Program Miscellaneous 3245-AF85
Amendments.
227....................... Implementation of Small 3245-AF88
Business Disaster
Response and Loan
Improvement Act:
Expedited Disaster
Assistance Program.
228....................... Implementation of Small 3245-AF99
Business Disaster
Response and Loan
Improvement Act: Private
Disaster Loan Program.
229....................... Office of Women Owned 3245-AG02
Business: Women's
Business Center Program.
230....................... Small Business Size 3245-AG16
Standards; Alternative
Size Standard for 7(a),
504, and Disaster Loan
Programs.
231....................... Small Business HUBZone 3245-AG38
Program.
232....................... Record Disclosure and 3245-AG52
Privacy.
233....................... Small Business Innovation 3245-AG64
Research (SBIR) and Small
Business Technology
Transfer (STTR) Policy
Directives; Data Rights;
Phase III Award
Preference; Other
Clarifying Amendments.
234....................... Small Business Investment 3245-AG66
Companies; Impact SBICs.
235....................... Small Business Investment 3245-AG67
Companies; Passive
Business Expansion &
Technical Clarifications.
236....................... Surety Bond Guarantee 3245-AG70
Program; Miscellaneous
Amendments.
237....................... Credit for Lower Tier 3245-AG71
Subcontracting.
238....................... Women-Owned Small Business 3245-AG72
Federal Contract Program.
239....................... Affiliation for Business 3245-AG73
Loan Programs and Surety
Bond Guarantee Program.
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Small Business Administration--Final Rule Stage
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Regulation
Sequence No. Title Identifier No.
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240....................... Small Business Mentor- 3245-AG24
Prot[eacute]g[eacute]
Programs.
241....................... Agent Revocation and 3245-AG40
Suspension Procedures.
242....................... Small Business Size 3245-AG49
Standards: Employee Based
Size Standards in
Wholesale Trade and
Retail Trade.
243....................... Small Business Size 3245-AG50
Standards for
Manufacturing.
[[Page 35099]]
244....................... Small Business Size 3245-AG51
Standards: Industries
With Employee-Based Size
Standards Not Part of
Manufacturing, Wholesale
Trade, or Retail Trade.
245....................... Small Business Government 3245-AG58
Contracting and National
Defense Authorization Act
of 2013 Amendments.
246....................... Advisory Small Business 3245-AG59
Size Decisions.
247....................... Small Business Size 3245-AG60
Standards; Inflation
Adjustment to Monetary-
Based Size Standards.
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SMALL BUSINESS ADMINISTRATION (SBA)
Prerule Stage
224. Small Business Timber Set Aside Program
Legal Authority: 15 U.S.C. 631; 15 U.S.C. 644(a)
Abstract: Under the Small Business Timber Set-Aside Program, timber
sales must be set aside for small business when small business
participation falls below a certain amount. This threshold is based on
a computation of small business participation in a prior five-year
period. Through this ANPRM SBA will seek public comment and information
on whether the saw timber volume purchased through stewardship timber
contracts should be included, which may expand the small business set-
aside calculation. SBA will also seek public comment on whether the
appraisal point used in set-aside sales should be the nearest small
business mill to reflect the actual cost to an eligible bidder. In
addition, SBA is requesting data from the timber industry to help
evaluate the current program and economic impact of potential changes.
Timetable:
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Action Date FR Cite
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ANPRM............................... 03/25/15 80 FR 15697
ANPRM Comment Period End............ 05/26/15
NPRM................................ 12/00/15
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Brenda J. Fernandez, Procurement Analyst, Small
Business Administration, 409 Third Street SW., Washington, DC 20416,
Phone: 202 205-7337, Email: [email protected].
RIN: 3245-AG69
SMALL BUSINESS ADMINISTRATION (SBA)
Proposed Rule Stage
225. Small Business Development Center Program Revisions
Legal Authority: 15 U.S.C. 634(b)(6); 15 U.S.C. 648
Abstract: Updates the SBDC program regulations by amending the (1)
procedures for approving applications for new Host SBDCs; (2) approval
procedures for travel outside the continental U.S. and U.S.
territories; (3) procedures and requirements regarding findings and
disputes resulting from financial exams, programmatic reviews,
accreditation reviews, and other SBA oversight activities; (4)
requirements for new or renewal applications for SBDC grants, including
the requirements for electronic submission through the approved
electronic Government submission facility; and (5) provisions regarding
the collection and use of the individual SBDC client data.
Timetable:
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Action Date FR Cite
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ANPRM............................... 04/02/15 80 FR 17708
ANPRM Comment Period End............ 06/01/15
NPRM................................ 01/00/16
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: J. Chancy Lyford, Deputy Associate Administrator,
Office of Small Development Centers, Small Business Administration, 409
Third Street SW., Washington, DC 20416, Phone: 202 205-7159, Fax: 202
481-2613, Email: [email protected].
RIN: 3245-AE05
226. Loan Program Miscellaneous Amendments
Legal Authority: 15 U.S.C. 636(a)(31) and (35)
Abstract: Preferred Lender Program (PLP) and SBA Express and Export
Express lenders are those which have been delegated the loan decision
without prior approval from SBA under certain circumstances. The
Express programs will be memorialized in regulations in this proposal.
Several minor modifications to the 504 Loan Program and governance
rules for Certified Development Company (CDC) are also proposed in a
follow-on to the recent Final Rule: 504 and 7(a) Loan Program Updates
(March 21, 2014), along with alignment of terminology for 7(a) lenders
that are federally regulated to synchronize with existing industry
requirements. Finally, SBA plans to propose several miscellaneous
amendments to improve operations of its finance and disaster programs.
Timetable:
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Action Date FR Cite
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NPRM...................... 10/00/15 .................................
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Linda Rusche, Director, Office of Financial
Assistance, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-6396, Email: [email protected].
RIN: 3245-AF85
227. Implementation of Small Business Disaster Response and Loan
Improvement Act: Expedited Disaster Assistance Program
Legal Authority: 15 U.S.C. 636j
Abstract: This proposed rule would establish and implement an
expedited disaster assistance business loan program under which the SBA
will guarantee short-term loans made by private lenders to eligible
small businesses located in a catastrophic disaster area. The maximum
loan amount is $150,000, and SBA will guarantee timely payment of
principal and interest to the lender. The maximum loan term will be 180
days, and the interest rate will be limited to 300 basis points over
the Federal funds rate.
Timetable:
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Action Date FR Cite
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NPRM...................... 11/00/15 .................................
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Regulatory Flexibility Analysis Required: Yes.
[[Page 35100]]
Agency Contact: Linda Rusche, Director, Office of Financial
Assistance, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-6396, Email: [email protected].
RIN: 3245-AF88
228. Implementation of Small Business Disaster Response and Loan
Improvement Act: Private Disaster Loan Program
Legal Authority: 15 U.S.C. 636(c)
Abstract: This proposed rule would establish and implement a
private disaster loan program under which SBA will guarantee loans made
by qualified lenders to eligible small businesses and homeowners
located in a catastrophic disaster area. Private disaster loans made
under this programs will have the same terms and conditions as SBA's
direct disaster loans. In addition, SBA will guarantee timely payment
of principal and interest to the lender. SBA may guarantee up to 85
percent of any loan under this program, and the maximum loan amount is
$2 million.
Timetable:
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Action Date FR Cite
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NPRM...................... 11/00/15 .................................
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Linda Rusche, Director, Office of Financial
Assistance, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-6396, Email: [email protected].
RIN: 3245-AF99
229. Office of Women Owned Business: Women's Business Center Program
Legal Authority: 15 U.S.C. 631; 15 U.S.C. 656
Abstract: SBA's Office of Women's Business Ownership (OWBO)
oversees a network of SBA-funded Women's Business Centers (WBCs)
throughout the United States and its territories. WBCs provide
management and technical assistance to small business concerns both
nascent and established, with a focus on such businesses that are owned
and controlled by women, or on women planning to start a business,
especially women who are economically or socially disadvantaged. The
training and counseling provided by the WBCs encompass a comprehensive
array of topics, such as finance, management and marketing in various
languages. This rule would propose to codify the requirements and
procedures that govern the delivery, funding and evaluation of the
management and technical assistance provided under the WBC Program. The
rule would address, among other things, the eligibility criteria for
selection as a WBC, use of Federal funds, standards for effectively
carrying out program duties and responsibilities, and the requirements
for reporting on financial and programmatic performance.
Timetable:
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Action Date FR Cite
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ANPRM............................... 04/22/15 80 FR 22434
ANPRM Comment Period End............ 06/22/15 .......................
NPRM................................ 05/00/16 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Bruce D. Purdy, Deputy Assistant Administrator,
Office of Women's Business Ownership, Small Business Administration,
Washington, DC 20416, Phone: 202 205-7532, Email: [email protected].
RIN: 3245-AG02
230. Small Business Size Standards; Alternative Size Standard for 7(A),
504, and Disaster Loan Programs
Legal Authority: Pub. L. 111-240, sec 1116
Abstract: SBA will amend its size eligibility criteria for Business
Loans, community development company (CDC) loans under title V of the
Small Business Investment Act (504) and economic injury disaster loans
(EIDL). For the SBA 7(a) Business Loan Program and the 504 program, the
amendments will provide an alternative size standard for loan
applicants that do not meet the small business size standards for their
industries. The Small Business Jobs Act of 2010 (Jobs Act) established
alternative size standards that apply to both of these programs until
SBA's Administrator establishes other alternative size standards. For
the disaster loan program, the amendments will provide an alternative
size standard for loan applicants that do not meet the Small Business
Size Standard for their industries. These alternative size standards do
not affect other Federal Government programs, including Federal
procurement.
Timetable:
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Action Date FR Cite
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NPRM................................ 11/00/15 .......................
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Dr. Khem Raj Sharma, Chief, Office of Size
Standards, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-7189, Fax: 202 205-6390, Email:
[email protected].
RIN: 3245-AG16
231. Small Business Hubzone Program
Legal Authority: 15 U.S.C. 657a
Abstract: SBA has been reviewing its processes and procedures for
implementing the HUBZone program and has determined that several of the
regulations governing the program should be amended in order to resolve
certain issues that have arisen. As a result, the proposed rule would
constitute a comprehensive revision of part 126 of SBA's regulations to
clarify current HUBZone Program regulations, and implement various new
procedures. The amendments will make it easier for participants to
comply with the program requirements and enable them to maximize the
benefits afforded by participation. In developing this proposed rule,
SBA will focus on the principles of Executive Order 13563 to determine
whether portions of regulations should be modified, streamlined,
expanded or repealed to make the HUBZone program more effective and/or
less burdensome on small business concerns. At the same time, SBA will
maintain a framework that helps identify and reduce waste, fraud, and
abuse in the program.
Timetable:
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Action Date FR Cite
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NPRM................................ 05/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Mariana Pardo, Director, Office of HubZone, Small
Business Administration, 409 3rd Street SW., Washington, DC 20416,
Phone: 202 205-2985, Email: [email protected].
RIN: 3245-AG38
232. Record Disclosure and Privacy
Legal Authority: 5 U.S.C. 301, 552 and 552(a); 31 U.S.C. 9701; 44
U.S.C. 3501 et seq.; E.O. 12600; 52 FR 23781
Abstract: SBA is amending its Record Disclosure and Privacy
regulations to implement the Openness Promotes Effectiveness in our
National Government Act. The amendments, among other things, will
update the Agency's Freedom of Information Act regulations to adjust
the time for the public to submit an appeal of SBA's decision regarding
a request for information, correct an obsolete address and provide
applicable Web site addresses, and clarify the definition of news media
for purposes of assessing processing fees.
[[Page 35101]]
Timetable:
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Action Date FR Cite
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NPRM................................ 10/00/15
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Linda M. DiGiandomenico, Acting Chief, Freedom of
Information, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 401-8206, Email:
[email protected].
RIN: 3245-AG52
233. Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) Policy Directives; Data Rights; Phase III
Award Preference; Other Clarifying Amendments
Legal Authority: 15 U.S.C. 638(p); Pub. L. 112-81, sec 5001, et
seq.
Abstract: This Directive seeks comments from the public on two key
areas of the Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) Policy Directives that the SBA is
considering revising: SBIR/STTR data rights, and the Government's
responsibilities with respect to SBIR/STTR Phase III awards. The SBA
intends to update policy directive language on miscellaneous topics
including the calculation of extramural R/R&D and to provide greater
clarity and detail on these issues in the Policy Directive. SBA also
intends to combine the directives for the two programs into a single
document to simplify the reference and revision processes.
Timetable:
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Action Date FR Cite
------------------------------------------------------------------------
ANPRM............................... 11/07/14 79 FR 66342
ANPRM Comment Period End............ 01/06/15
NPRM................................ 09/00/15
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Edsel M. Brown Jr., Assistant Director, Office of
Innovation, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-6450, Email: [email protected].
RIN: 3245-AG64
234. Small Business Investment Companies; Impact SBICs
Legal Authority: 15 U.S.C. 681
Abstract: This rule will establish a regulatory structure for the
SBIC Programs Impact Investment Fund, which is currently being
implemented through a policy memorandum to interested applicants. The
rule will establish a new type of SBIC license called the Impact SBIC
license and will include application and examination fee considerations
to incentivize Impact Investment Fund participation. Impact SBICs may
also be able to access Early Stage leverage on the same terms as Early
Stage SBICs without applying through the Early Stage call process
defined in 107.310. This will allow Impact SBICs with early stage
strategies to apply for the program. The new license will be available
to investment funds that meet the SBIC Programs licensing
qualifications and commit to invest at least 50% of their invested
capital in impact investments as defined in the rule. The rule will
also outline reporting and performance measures for licensed funds to
maintain Impact Investment Fund designation. The goal of the Impact
Investment Fund is to support small business investment strategies that
maximize financial returns while also yielding enhanced social
environmental or economic impacts as part of the SBIC Programs overall
effort to supplement the flow of private equity and long-term loan
funds to small businesses whose capital needs are not being met.
Timetable:
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Action Date FR Cite
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NPRM................................ 08/00/15
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Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Jeff Finkelman, Presidential Management Fellow,
Small Business Administration, 409 Third Street SW., Washington, DC
20416, Phone: 202 205-2414, Email: [email protected].
RIN: 3245-AG66
235. Small Business Investment Companies; Passive Business Expansion &
Technical Clarifications
Legal Authority: 15 U.S.C. 681 et seq.
Abstract: The SBA proposes to revise the regulations for the Small
Business Investment Company (SBIC) program to further expand the use of
Passive Businesses and provide needed protections for SBA with regard
to such investments. SBICs are generally prohibited from investing in
passive businesses under the Small Business Investment Act of 1958 as
amended as well as by regulations. Current program regulations provided
for two exceptions that allow an SBIC to structure an investment
utilizing a passive small business as a pass-through. The first
exception identified in 107.720(b)(2) provides that an SBIC may
structure an investment utilizing two pass-through entities to make an
investment into an active business . The second exception identified in
107.720(b)(3) allows partnership SBICs with SBA prior approval to
invest in a wholly owned passive business that in turn provides
financing to an active small business only if a direct financing would
cause its investors to incur Unrelated Business Taxable Income (UBTI).
The second exception is commonly known as a blocker corporation. The
current rule creates unnecessary complications in defining two
exceptions and does not provide SBA with sufficient protections. SBA
proposes to simplify the rule to allow a more flexible two pass-through
entity structure but provides SBA certain protections to offset risks
associated with passive investment structures. As part of the proposed
rule, SBA will also make technical corrections and clarifications.
Timetable:
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Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 07/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Theresa M. Jamerson, Senior Policy Advisor,
Investment Division, Small Business Administration, 409 3rd Street SW.,
Washington, DC 20461, Phone: 202 205-7563, Email:
[email protected].
RIN: 3245-AG67
236. Surety Bond Guarantee Program; Miscellaneous Amendments
Legal Authority: 15 U.S.C. 694b
Abstract: This rule proposes to change the regulations for SBA's
Surety Bond Guarantee Program in four areas. First, as a condition for
participating in the Prior Approval Program, the proposal would clarify
that a Surety must directly employ an underwriting staff sufficient to
oversee this function. Second, the proposed rule would require all
Sureties to directly employ sufficient staff to perform all claims
functions, and to vest final settlement authority for claims and
recovery only in salaried employees of the Surety. Third, the proposal
would provide that all costs incurred by the Surety's salaried claims
staff are ineligible for reimbursement by SBA, but the Surety may seek
reimbursement for amounts paid for specialized services that are
provided by outside consultants in connection with the processing of a
claim. Fourth, the rule proposes to modify the criteria for determining
when a Principal that
[[Page 35102]]
caused a Loss to SBA is ineligible for a bond guaranteed by SBA.
Timetable:
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Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 08/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Barbara J. Brannan, Management Analyst, Office of
Surety Guarantees, Small Business Administration, Washington, DC 20416,
Phone: 202 205-6545, Email: [email protected].
RIN: 3245-AG70
237. Credit for Lower Tier Subcontracting
Legal Authority: Pub. L. 113-66, sec. 1614
Abstract: The U.S. Small Business Administration (SBA or Agency) is
amending its regulations to implement Section 1614 of the National
Defense Authorization Act (NDAA) of 2014, Pub. L. 113-66, December 26,
2013. Under the statute, when an other than small prime contractor has
an individual subcontracting plan for a contract, the large business
may receive credit towards its small business subcontracting goals for
subcontract awards made to small business concerns at any tier.
Currently, other than small business prime contractors only report on
their performance awarding subcontracts to small businesses at the
first tier level.
Timetable:
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Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 06/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Kenneth Dodds, Director, Office of Government
Contracting, Small Business Administration, 409 3rd Street SW.,
Washington, DC 20416, Phone: 202 619-1766, Fax: 202 481-2950, Email:
[email protected].
RIN: 3245-AG71
238. Women-Owned Small Business Federal Contract Program
Legal Authority: 15 U.S.C. 637(m); 15 U.S.C. 634(b)(6)
Abstract: Section 825 of the National Defense Authorization Act for
Fiscal Year 2015 (NDAA), P. L. 113-291, 128 Stat. 3292, Dec. 19, 2014,
included language granting contracting officers the authority to award
sole source contracts to WOSBs and EDWOSBs. In order to implement this
statutory change, SBA is proposing to amend 13 CFR part 127. SBA is
proposing to amend Subpart E by incorporating the statutory language
granting authority for sole source contracts. This new language would
be in 127.504. If a contracting officer conducts market research in an
industry where a WOSB or EDWOSB set aside is authorized, and the
contracting officer cannot identify two or more WOSBs or EDWOSBs that
can perform at a fair and reasonable price, but identifies one WOSB or
EDWOSB that can perform at a fair and reasonable price, the contracting
officer would be able to award the contract on a sole source basis, if
the value of the contract, including options, does not exceed $6.5
million for manufacturing contracts and $4 million for all other
contracts. Section 825 of the NDAA also accelerated a statutory
deadline by two years for SBA to conduct a study to determine the
industries where WOSBs and EDWOSBs are substantially underrepresented
or underrepresented. SBA must complete the study by January, 2, 2016.
SBA intends to amend the regulatory definition of underrepresentation
and substantial underrepresentation to align the regulatory definition
with the more general statutory language and to ensure the agency can
conduct a study using relevant and reliable methodologies.
Timetable:
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Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 05/01/15 80 FR 24846
NPRM Comment Period End............. 06/30/15 .......................
Final Rule.......................... 08/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Kenneth Dodds, Director, Office of Government
Contracting, Small Business Administration, 409 3rd Street SW.,
Washington, DC 20416, Phone: 202 619-1766, Fax: 202 481-2950, Email:
[email protected].
RIN: 3245-AG72
239. Affiliation for Business Loan Programs and Surety Bond
Guarantee Program
Legal Authority: 15 U.S.C. 634(b)(6)
Abstract: This rule would simplify the consideration of affiliated
individuals and groups of individuals, which may own minority stakes in
multiple businesses. Existing regulation defines groups as being
affiliated, and thereby having some form of control, which in most
circumstances is not applicable to the borrowing entity. By redefining
how these lesser-percentage owners are grouped together, and shifting
certain certifications of facts to the borrower, more businesses could
be identified as ``small'' and therefore be eligible for SBA financial
assistance. SBA also plans to propose one modification to improve
operations of its finance programs.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 07/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Linda Rusche, Director, Office of Financial
Assistance, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-6396, Email: [email protected].
RIN: 3245-AG73
SMALL BUSINESS ADMINISTRATION (SBA)
Final Rule Stage
240. Small Business Mentor-Prot[eacute]g[eacute] Programs
Legal Authority: Pub. L. 111-240; sec 1347;15 U.S.C. 657r
Abstract: SBA currently has a mentor-protege program for the 8(a)
Business Development Program that is intended to enhance the
capabilities of the protege and to improve its ability to successfully
compete for Federal contracts. The Small Business Jobs Act authorized
SBA to use this model to establish similar mentor-protege programs for
the Service Disabled Veteran-Owned, HUBZone, and Women-Owned Small
Federal Contract Business Programs and the National Defense
Authorization Act for Fiscal Year 2013 authorized this for all small
businesses. This authority is consistent with recommendations issued by
an interagency task force created by President Obama on Federal
Contracting Opportunities for Small Businesses. As is the case with the
current mentor-protege program, the various forms of assistance that a
mentor will be expected to provide to a protege include technical and/
or management assistance; financial assistance in the form of equity
investment and/or loans; subcontracts; and/or assistance in performing
prime contracts with the Government in the form of joint venture
arrangements.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 02/05/15 80 FR 6618
[[Page 35103]]
NPRM Comment Period End............. 04/06/15 .......................
NPRM Comment Period Extension....... 04/07/15 80 FR 18556
NPRM Comment Period End............. 05/06/15 .......................
Final Rule.......................... 11/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Brenda J. Fernandez, Procurement Analyst, Small
Business Administration, 409 Third Street SW., Washington, DC 20416,
Phone: 202 205-7337, Email: [email protected].
RIN: 3245-AG24
241. Agent Revocation and Suspension Procedures
Legal Authority: 15 U.S.C. 634; 15 U.S.C. 642
Abstract: These changes to 13 CFR 103, 134, and 2 CFR 2700 lay out
a procedural process for SBA's revocation of the privilege of agents to
conduct business with the Agency. Included in this process are
procedures for proposed revocation, the opportunity to object to the
proposed revocation, the revocation decision, as well as requests for
reconsideration. These procedures also provide for suspension of the
privilege to conduct business with the Agency pending a revocation
action. In addition, these changes remove Office of Hearings and
Appeals review of suspension, revocation, and debarment actions by SBA.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 10/16/14 79 FR 62060
NPRM Comment Period Extended........ 12/12/14 79 FR 73853
NPRM Comment Period End............. 12/15/14 .......................
Second NPRM Comment Period End...... 02/14/15 .......................
Final Rule.......................... 11/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Debra Mayer, Chief, Supervision and Enforcement,
Office of Credit Risk Management, Small Business Administration, 409
Third Street SW., Washington, DC 20416, Phone: 202 205-7577, Email:
[email protected].
RIN: 3245-AG40
242. Small Business Size Standards: Employee Based Size Standards in
Wholesale Trade and Retail Trade
Legal Authority: 15 U.S.C. 632(a)
Abstract: On May 19, 2014, the U.S. Small Business Administration
(SBA) published a proposed rule to increase employee based size
standards in 46 industries in North American Industry Classifcation
System (NAICS) Sector 42, Wholesale Trade, and in one industry in
Sector 44-45, Retail Trade. As a part of its comprehensive size
standards review required by the Small Business Jobs Act of 2012, SBA
reviewed all 71 industries in Sector 42 and two industries with
employee based size standards in Sector 44-45 to determine whether
their size standards should be retained or revised. The proposed
revisions, if adopted, will primarily affect eligibility for SBA's
financial assistance programs. This is one of the rules that will
examine industries grouped by an NAICS Sector. SBA has applied its
``Size Standards Methodology,'' which is available on its Web site at
http://www.sba.gov/size, to this purposed rule. SBA expects to publish
the final rule in the near future.
NOTE: The title for this rule has been changed since the rule
was first reported in the Regulatory Agenda on January 8, 2013, from
``Small Business Size Standards for Wholesale Trade'' to ``Small
Business Size Standards: Employee Based Size Standards for Wholesale
Trade and Retail Trade.'' The title was changed to make it clear
that the rule also addresses industries with employee based size
standards in Retail Trade.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 05/19/14 79 FR 28631
NPRM Comment Period End............. 07/18/14 .......................
Final Rule.......................... 07/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Dr. Khem Raj Sharma, Chief, Office of Size
Standards, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-7189, Fax: 202 205-6390, Email:
[email protected].
RIN: 3245-AG49
243. Small Business Size Standards for Manufacturing
Legal Authority: 15 U.S.C. 632(a)
Abstract: On September 10, 2014, the U.S. Small Business
Administration (SBA), published a proposed rule to increase employee
based size standards for 209 industries in North American Industry
Classification System (NAICS) Section 31-33, Manufacturing. SBA also
proposed to increase the refining capacity component of the Petroleum
Refiners (NAICS 324110) size standard to 200,000 barrels per calendar
day total capacity for businesses that are primarily engaged in
petroleum refining. The proposed rule also eliminated the requirement
that 90 percent of a refiner's output being delivered should be refined
by the bidder. As a part of its comprehensive size standards review
required by the Small Business Jobs Act of 2010, SBA evaluated all 364
industries in NAICS Sector 31-33 to determine whether their size
standards should be retained or revised. This is one of the rules that
will examine industries grouped by an NAICS Sector. SBA has applied its
``Size Standards Methodology,'' which is available on its Web site at
http://www.sba.gov/size, to this proposed rule.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 09/10/14 79 FR 54146
NPRM Comment Period End............. 11/10/14 .......................
Final Rule.......................... 07/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Dr. Khem Raj Sharma, Chief, Office of Size
Standards, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-7189, Fax: 202 205-6390, Email:
[email protected].
RIN: 3245-AG50
244. Small Business Size Standards: Industries With Employee-Based Size
Standards Not Part of Manufacturing, Wholesale Trade, or Retail Trade
Legal Authority: 15 U.S.C. 632(a)
Abstract: On September 10, 2014, the U.S. Small Business
Administration (SBA) published a proposed rule to increase to increase
the employee-based size standards for 30 industries and three
exceptions and decrease them for three industries that are not a part
of NAICS Sector 31-33 (Manufacturing) Sector 42 (Wholesale Trade) and
Sector 44-45 (Retail Trade). Additionally, SBA proposed to remove the
Information Technology Value Added Resellers exception under NAICS
541519 (Other Computer Related Services) together with its 150-employee
size standard. Similarly, SBA also proposed to eliminate the Offshore
Marine Air Transportation Services exception under NAICS 481211 and
481212 and Offshore Marine Services exception under NAICS Subsector 483
and their $30.5 million receipts based size standard. As part of its
comprehensive size standards review required by the Small Business Jobs
Act of 2010 SBA evaluated 57 industries and five exceptions with
employee based size
[[Page 35104]]
standards that are not in NAICS Sectors 31-33 42 or 4445. This is one
of the rules that will examine industries grouped by an NAICS Sector.
SBA has applied its Size Standards Methodology, which is available on
its Web site at http://www.sba.gov/size to this proposed rule.
Please Note: The title for this rule has been changed since it was
first announced in the Regulatory Agenda on January 8, 2013 to add the
words or Retail Trade at the end of the previous title. This change
makes it clear that industries in the retail trade with employee based
size standards are also not addressed in the rule.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 09/10/14 79 FR 53646
NPRM Rule Correction................ 10/20/14 79 FR 62576
NPRM Comment Period End............. 11/10/14 .......................
Final Rule.......................... 07/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Dr. Khem Raj Sharma, Chief, Office of Size
Standards, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416, Phone: 202 205-7189, Fax: 202 205-6390, Email:
[email protected].
RIN: 3245-AG51
245. Small Business Government Contracting and National Defense
Authorization Act of 2013 Amendments
Legal Authority: 15 U.S.C. 631; Pub. L. 112-239
Abstract: The rule would propose various small business related
amendments authorized by various sections of the NDAA of 2013 with
respect to the limitations on subcontracting and non-manufacturer rules
that apply to set aside contracts. SBA would propose amendments
concerning joint ventures, the applicability of the non-manufacturer
rule to the purchase of software; recertification of size; affiliation
in the context of Small Innovation Research program; the definition of
a construction contract for purposes of an adverse impact analysis in
connection with 8(a) Business Development program contract; Procurement
Center Representative responsibilities; small business subcontracting
assistance and reporting; Certificates of Competency; and penalties for
violations of the subcontracting limitations and protection for small
businesses that acted in good faith in connection with such
limitations.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 12/29/14 79 FR 77955
NPRM Comment Period End............. 02/27/15 .......................
NPRM Comment Period Reopened........ 03/09/15 80 FR 12353
Second NPRM Comment Period End...... 04/06/15 .......................
Final Rule.......................... 11/00/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Brenda J. Fernandez, Procurement Analyst, Small
Business Administration, 409 Third Street SW., Washington, DC 20416,
Phone: 202 205-7337, Email: [email protected].
RIN: 3245-AG58
246. Advisory Small Business Size Decisions
Legal Authority: 15 U.S.C. 645(d)(3)
Abstract: The purpose of the statute is to establish procedures for
Small Business Development Centers (SBDCs) (SBA grantees) or
Procurement Technical Assistance Centers (PTACs) (DOD grantees) to
issue advisory size decisions. This rule provides guidance to SBDCs and
PTACs regarding the minimum requirements that small business status
advisory opinions must meet in order to be deemed adequate by SBA. The
rule also requires the SBDC or PTAC issuing the advisory opinion to
remit a copy of the opinion to SBA for review, and established a 10 day
deadline by which SBA must either accept or reject the advisory
opinion. If SBA rejects the advisory opinion, the Agency will notify
the entity which issued the opinion and the firm to which it applies,
after which time the firm is no longer entitled to rely upon the
opinion or invoke the safe harbor provisions of the statute. If SBA
accepts the advisory opinion, then the firm may rely on the SBDC or
PTAC advisory opinion and is entitled to invoke the safe harbor
provision as a defense to punishments imposed under 15 U.S.C. 645,
Offenses and Penalties, which prescribes fines and imprisonment for
false statements. The rule also makes clear that SBA has the authority
to initiate a formal size determination of a firm that is the subject
of a small business status advisory opinion where the Agency concludes
that opinion contains information that calls into question the firm's
small business status.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
NPRM................................ 06/25/14 79 FR 35963
NPRM Comment Period End............. 08/25/14 .......................
Final Rule.......................... 02/11/15 80 FR 7533
Final Rule Effective................ 08/10/15 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Brenda J. Fernandez, Procurement Analyst, Small
Business Administration, 409 Third Street SW., Washington, DC 20416.
Phone: 202 205-7337. Email: [email protected].
RIN: 3245-AG59
247. Small Business Size Standards; Inflation Adjustment to Monetary-
Based Size Standards
Legal Authority: 15 U.S.C. 632(a)
Abstract: On June 12, 2014, SBA issued an interim final rule with
request for comments to adjust its monetary small business size
standards (i.e., receipts, net income, net worth, and financial
assets), for the effects of inflation that have occurred since the last
inflation adjustment, which was effective August 19, 2008. The interim
final rule aimed to restore small business eligibility to businesses
that have lost their small business status due to inflation. The Small
Business Jobs Act of 2010 (Jobs Act) requires SBA to review and adjust
(as necessary) all size standards within five years of its enactment.
SBA's Small Business Size Regulations at 13 CFR 121.102(c) require the
same quinquennial (or less) review and adjustment. The rule did not
increase the $750,000 size standard for agricultural enterprises, which
is established by the Small Business Act (Sec. 3(a)(1)). The alternate
size standard used in the 7(a) and 504 business loan programs is
unaffected by this adjustment.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
Interim Final Rule.................. 06/12/14 79 FR 33647
Interim Final Rule Effective........ 07/14/14 .......................
Interim Final Rule Comment Period 08/11/14 .......................
End.
Final Rule.......................... 05/00/15 .......................
------------------------------------------------------------------------
[[Page 35105]]
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Dr. Khem Raj Sharma, Chief, Office of Size
Standards, Small Business Administration, 409 Third Street SW.,
Washington, DC 20416. Phone: 202 205-7189. Fax: 202 205-6390. Email:
[email protected].
RIN: 3245-AG60
[FR Doc. 2015-14371 Filed 6-17-15; 8:45 am]
BILLING CODE 8025-01-P